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.
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SEC-registered adviser
S••••••• F•••••••• A•••••••• L••
Latest filing Mar 28, 2026
First filing on the tape Mar 26, 2012 · 9 filings
SEC status approved since Aug 17, 2022
RAUM
$145M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
87%
$126M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$36.1M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$145M as of Mar 28, 2026
Mar 26, 2012$30.0M then
HNW client RAUM$97.4M as of Mar 28, 2026
Mar 28, 2023$57.3M then
State-registered IARs (5.B.3)4 as of Mar 28, 2026
Mar 26, 20120 then
Employees (5.A)4 as of Mar 28, 2026
Mar 28, 20234 then
Private funds: no history
RAUM +1.1% over the last fiscal year+15% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 28, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $36.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $450,456derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 8.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -21%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $127MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$97.4M67%
- Individuals$28.7M20%
- Pension and profit-sharing plans$11.2M7.7%
- Corporations and businesses$6.0M4.1%
- Charitable organizations$1.3M0.9%
- Individual clients
- 92reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 321reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• R•••••• D•• | Omaha, Ne | Apr 8, 2013 | 14 y | 0 |
| J••••• B•••••• | Omaha, Ne | Jan 4, 2022 | 39 y | 4 |
| M•••••• J••• B••••• | Omaha, Ne | Jan 5, 2026 | 42 y | 2 |
| M••• H• J••••• | Omaha, Ne | Jan 8, 2026 | 46 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- P•••••• J• Q•••• to F•• P•••••• W••••• M••••••••• I•••Nov 5, 2009 · Other
Joined, latest
- M•••••• J••• B••••• from O•••• W••••• M••••••••• L••Jan 5, 2026 · Other
- J••••• B•••••• from O•••• W••••• M••••••••• L••Jan 4, 2022 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from O•••• W••••• M••••••••• L••Dec 31, 2021 · Omaha, Ne
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J••••• · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- J•••••• M•••• H• · Presidentcontrolsince 03/1998 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Omaha, Ne | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 337 to 321Mar 27, 2025 to Mar 28, 2026
- HNW clients · 53 to 51Mar 27, 2025 to Mar 28, 2026
- Individual clients · 128 to 92Mar 27, 2025 to Mar 28, 2026
- Discretionary RAUM · $127M to $119MMar 27, 2025 to Mar 28, 2026
- HNW RAUM · $99.6M to $97.4MMar 27, 2025 to Mar 28, 2026
- Individual RAUM · $26.8M to $28.7MMar 27, 2025 to Mar 28, 2026
- Non-discretionary RAUM · $16.4M to $26.0MMar 27, 2025 to Mar 28, 2026
- Pension RAUM · $9.5M to $11.2MMar 27, 2025 to Mar 28, 2026
- RAUM · $143M to $145MMar 27, 2025 to Mar 28, 2026
- Individual clients · 120 to 128Mar 28, 2024 to Mar 27, 2025
- Accounts · 357 to 337Mar 28, 2024 to Mar 27, 2025
- Advisory activities · 3 to 2Mar 28, 2024 to Mar 27, 2025
- HNW clients · 49 to 53Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 27, 2025
- HQ city · unset to Mar 28, 2024 to Mar 27, 2025
- HQ state · unset to Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $114M to $127MMar 28, 2024 to Mar 27, 2025
- HNW RAUM · $78.5M to $99.6MMar 28, 2024 to Mar 27, 2025
- Individual RAUM · $30.3M to $26.8MMar 28, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $9.0M to $16.4MMar 28, 2024 to Mar 27, 2025
- Pension RAUM · $6.7M to $9.5MMar 28, 2024 to Mar 27, 2025
- RAUM · $123M to $143MMar 28, 2024 to Mar 27, 2025
- Accounts · 254 to 357Mar 28, 2023 to Mar 28, 2024
- HNW clients · 41 to 49Mar 28, 2023 to Mar 28, 2024
- Individual clients · 130 to 120Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $86.6M to $114MMar 28, 2023 to Mar 28, 2024
- HNW RAUM · $57.3M to $78.5MMar 28, 2023 to Mar 28, 2024
- Individual RAUM · $26.0M to $30.3MMar 28, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $9.2M to $9.0MMar 28, 2023 to Mar 28, 2024
- Pension RAUM · $7.1M to $6.7MMar 28, 2023 to Mar 28, 2024
- RAUM · $95.8M to $123MMar 28, 2023 to Mar 28, 2024
- Accounts · 246 to 254Jul 18, 2022 to Mar 28, 2023
- HNW clients · 35 to 41Jul 18, 2022 to Mar 28, 2023
- Individual clients · 211 to 130Jul 18, 2022 to Mar 28, 2023
- Discretionary RAUM · $99.6M to $86.6MJul 18, 2022 to Mar 28, 2023
- HNW RAUM · $69.7M to $57.3MJul 18, 2022 to Mar 28, 2023
- Individual RAUM · $28.7M to $26.0MJul 18, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $9.5M to $9.2MJul 18, 2022 to Mar 28, 2023
- Pension RAUM · $4.9M to $7.1MJul 18, 2022 to Mar 28, 2023
- RAUM · $109M to $95.8MJul 18, 2022 to Mar 28, 2023
Signals
2 dated events
- Sterling Financial Advisors, Llc filed its initial SEC registration (Form ADV)Jul 18, 2022 · First SEC registration · fact
- Joseph Bayless (Chief Compliance Officer) appeared on Schedule A of Sterling Financial Advisors, LlcJul 18, 2022 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 402-970-9300reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 402-970-9397reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- STERLINGFINANCIALWORLD.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 402-970-9300reportedpublic record, Form ADV, Mar 28, 2026
- Contact form
- sterlingfinancialworld.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $36.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026