DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Sterling Capital Management

Former SEC-registered adviserSt.Louis, MissouriCRD 105793SEC 801-31743IAPD
Legal name Sterling Capital Management Inc
Latest filing Nov 15, 2018
First filing on the tape Mar 28, 2012 · 8 filings
RAUM
$175M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
91%
$160M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$175M as of Mar 29, 2018
Mar 28, 2012$128M then
HNW client RAUM: $149M
State-registered IARs (5.B.3)3 as of Mar 29, 2018
Mar 28, 20120 then
Employees (5.A)3 as of Mar 29, 2018
Mar 27, 20133 then
Private funds: no history
RAUM +12% over the last fiscal year+3.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Nov 15, 2018; every figure names its basis
RAUM per advisor
$58.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
30derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 5.G
Custody
$10.6M, 9 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$149M85%
  • Individuals$11.2M6.4%
  • Corporations and businesses$8.4M4.8%
  • Pension and profit-sharing plans$6.2M3.5%
  • Charitable organizations$182,1220.1%
Individual clients
43reported
HNW clients
47reported
Pension plan clients
3reported
Charitable clients
1reported
Accounts
96reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$10.6M for 9 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • George William Lauber · President/Trustee/Chief Compliance Officercontrol
        since 04/1988 · owns less than 5%
      • George William Lauber · President, Trustee, Chief Compliance Officercontrol
        since 04/1988 · owns F of William G Lauber Living Trust Dtd. 01/27/84
      Entity owners
      • William G. Lauber Living Trust Dtd. 01/27/84, William G. Lauber, Trustee · 100% Shareholder
        direct · owns 75% or more
      • William G Lauber Living Trust Dtd. 01/27/84 · 100% Shareholder
        indirect · owns 75% or more of William G Lauber Living Trust Dtd. 01/27/84
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 99 to 96
        Mar 20, 2017 to Mar 29, 2018
      • Charity clients · unset to 1.0
        Mar 20, 2017 to Mar 29, 2018
      • Corporate clients · unset to 1.0
        Mar 20, 2017 to Mar 29, 2018
      • HNW clients · unset to 47.0
        Mar 20, 2017 to Mar 29, 2018
      • Individual clients · unset to 43.0
        Mar 20, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 3.0
        Mar 20, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 20, 2017 to Mar 29, 2018
      • Assets in custody · unset to 10577693.0
        Mar 20, 2017 to Mar 29, 2018
      • Custody of client assets · false to true
        Mar 20, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 20, 2017 to Mar 29, 2018
      • Discretionary RAUM · $154M to $172M
        Mar 20, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 148518151.0
        Mar 20, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 11241875.0
        Mar 20, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $2.5M to $2.8M
        Mar 20, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 6167896.0
        Mar 20, 2017 to Mar 29, 2018
      • RAUM · $157M to $175M
        Mar 20, 2017 to Mar 29, 2018
      • Accounts · 106 to 99
        Mar 7, 2016 to Mar 20, 2017
      • Discretionary RAUM · $147M to $154M
        Mar 7, 2016 to Mar 20, 2017
      • Non-discretionary RAUM · $2.3M to $2.5M
        Mar 7, 2016 to Mar 20, 2017
      • RAUM · $149M to $157M
        Mar 7, 2016 to Mar 20, 2017
      • Accounts · 107 to 106
        Mar 26, 2015 to Mar 7, 2016
      • Discretionary RAUM · $153M to $147M
        Mar 26, 2015 to Mar 7, 2016
      • Non-discretionary RAUM · $2.5M to $2.3M
        Mar 26, 2015 to Mar 7, 2016
      • RAUM · $156M to $149M
        Mar 26, 2015 to Mar 7, 2016
      • Accounts · 110 to 107
        Mar 26, 2014 to Mar 26, 2015
      • Discretionary RAUM · $141M to $153M
        Mar 26, 2014 to Mar 26, 2015
      • Non-discretionary RAUM · $2.7M to $2.5M
        Mar 26, 2014 to Mar 26, 2015
      • RAUM · $144M to $156M
        Mar 26, 2014 to Mar 26, 2015
      • Accounts · 106 to 110
        Mar 27, 2013 to Mar 26, 2014
      • Discretionary RAUM · $133M to $141M
        Mar 27, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $2.8M to $2.7M
        Mar 27, 2013 to Mar 26, 2014
      • RAUM · $136M to $144M
        Mar 27, 2013 to Mar 26, 2014
      • Accounts · 102 to 106
        Mar 28, 2012 to Mar 27, 2013
      • Advisory employees · unset to 3.0
        Mar 28, 2012 to Mar 27, 2013
      • Employees · unset to 3.0
        Mar 28, 2012 to Mar 27, 2013
      • State-registered IARs · 0 to 3
        Mar 28, 2012 to Mar 27, 2013
      • Discretionary RAUM · $124M to $133M
        Mar 28, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $3.3M to $2.8M
        Mar 28, 2012 to Mar 27, 2013
      • RAUM · $128M to $136M
        Mar 28, 2012 to Mar 27, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026