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•••••••• P••••••• I••
Latest filing Sep 8, 2026
First filing on the tape Mar 19, 2012 · 31 filings
SEC status approved since Nov 10, 1998
RAUM
$761M
reported, Item 5.F
Discretionary
64%
of RAUM
Private clients
98%
$742M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$95.1M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$761M as of Mar 27, 2026
Mar 19, 2012$290M then
HNW client RAUM$615M as of Mar 27, 2026
Mar 15, 2018$303M then
State-registered IARs (5.B.3)8 as of Mar 27, 2026
Mar 19, 20120 then
Employees (5.A)8 as of Mar 27, 2026
Mar 21, 20138 then
Private funds: no history
RAUM +13% over the last fiscal year+11% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Sep 8, 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
- RAUM per advisor
- $95.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $464,163derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 64%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $304M, 334 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$615M81%
- Individuals$127M17%
- Charitable organizations$14.5M1.9%
- Corporations and businesses$2.3M0.3%
- Pension and profit-sharing plans$1.9M0.2%
- Individual clients
- 350reported
- HNW clients
- 212reported
- Pension plan clients
- 2reported
- Charitable clients
- 8reported
- Accounts
- 1,639reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $304M for 334 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••••• H•••••Certified Financial Planner, Chartered Financial Analyst | Sparta, Nj | Apr 5, 2004 | 23 y | 0 |
| N••••••• A•••••• N••••••••Certified Financial Planner | Sparta, Nj | Jul 15, 2005 | 43 y | 1 |
| G••• A••••• T•••••Chartered Financial Analyst | Sparta, Nj | Jul 10, 2007 | 36 y | 1 |
| R••• D•••• W•••••Certified Financial Planner | Sparta, Nj | Mar 26, 2008 | 19 y | 0 |
| D••••• I••••••• | Sparta, Nj | Apr 30, 2010 | 35 y | 0 |
| C•••••••• P•••• M••••••Certified Financial Planner | Sparta, Nj | Jul 10, 2019 | 14 y | 2 |
| C•• C••••••••• C•••••••••Certified Financial Planner | Sparta, Nj | Aug 15, 2023 | 12 y | 2 |
| R•••••• S•••••• | Sparta, Nj | Oct 9, 2025 | 10 y | 3 |
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
none on the tape
Joined, latest
- R•••••• S•••••• from A•••••• A••••••• S•••••••Oct 9, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•• C••••••••• C••••••••• from S••••• F••••••••• L••Aug 15, 2023 · Affiliated broker-dealer or bank to independent RIA
- C•••••••• P•••• M•••••• from R•• C•••••• M••••••• L••Jul 10, 2019 · Affiliated broker-dealer or bank to independent RIA
- G••• A••••• T••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jul 10, 2007 · Other
- N••••••• A•••••• N•••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jul 15, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• M••••••• J••••• · Secretarycontrolsince 01/2019 · owns 25% to 50%
- N••••••••• N•••••••• A•••••• · President And Chief Compliance Officercontrolsince 03/2022 · owns 25% to 50%
- T•••••• G•••• A••••• · Treasurercontrolsince 03/2022 · owns 10% to 25%
- W•••••• R•••• D•••• · Shareholdersince 01/2019 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Sparta, Nj · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Mar 27, 2026 to Sep 8, 2026
- Related adviser · false to unsetMar 27, 2026 to Sep 8, 2026
- Related bank · false to unsetMar 27, 2026 to Sep 8, 2026
- Related broker-dealer · false to unsetMar 27, 2026 to Sep 8, 2026
- Related insurance company · false to unsetMar 27, 2026 to Sep 8, 2026
- Succession · false to unsetMar 27, 2026 to Sep 8, 2026
- Accounts · 1,602 to 1,639Mar 26, 2025 to Mar 27, 2026
- Advisory employees · 7 to 8Mar 26, 2025 to Mar 27, 2026
- Charity clients · 7 to 8Mar 26, 2025 to Mar 27, 2026
- Corporate clients · 5 to 6Mar 26, 2025 to Mar 27, 2026
- HNW clients · 194 to 212Mar 26, 2025 to Mar 27, 2026
- Individual clients · 351 to 350Mar 26, 2025 to Mar 27, 2026
- Pension plan clients · 3 to 2Mar 26, 2025 to Mar 27, 2026
- Assets in custody · $298M to $304MMar 26, 2025 to Mar 27, 2026
- State-registered IARs · 7 to 8Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $429M to $488MMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $533M to $615MMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $122M to $127MMar 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $243M to $273MMar 26, 2025 to Mar 27, 2026
- Pension RAUM · $4.3M to $1.9MMar 26, 2025 to Mar 27, 2026
- RAUM · $672M to $761MMar 26, 2025 to Mar 27, 2026
- Accounts · 1,575 to 1,602Mar 20, 2024 to Mar 26, 2025
- HNW clients · 176 to 194Mar 20, 2024 to Mar 26, 2025
- Individual clients · 346 to 351Mar 20, 2024 to Mar 26, 2025
- Pension plan clients · unset to 3.0Mar 20, 2024 to Mar 26, 2025
- Assets in custody · $249M to $298MMar 20, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Mar 20, 2024 to Mar 26, 2025
- Discretionary RAUM · $405M to $429MMar 20, 2024 to Mar 26, 2025
- HNW RAUM · $477M to $533MMar 20, 2024 to Mar 26, 2025
- Individual RAUM · $130M to $122MMar 20, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $218M to $243MMar 20, 2024 to Mar 26, 2025
- Pension RAUM · $3.0M to $4.3MMar 20, 2024 to Mar 26, 2025
- RAUM · $623M to $672MMar 20, 2024 to Mar 26, 2025
- Accounts · 1,508 to 1,575Nov 30, 2023 to Mar 20, 2024
- Advisory employees · 6 to 7Nov 30, 2023 to Mar 20, 2024
- Corporate clients · unset to 5.0Nov 30, 2023 to Mar 20, 2024
- HNW clients · 157 to 176Nov 30, 2023 to Mar 20, 2024
- Individual clients · 356 to 346Nov 30, 2023 to Mar 20, 2024
- Assets in custody · $229M to $249MNov 30, 2023 to Mar 20, 2024
- Employees · 6 to 8Nov 30, 2023 to Mar 20, 2024
Signals
4 dated events
- Robert Bruce Tucker (President And Chief Compliance Officer) no longer on Schedule A of S••••••• F•••••••• P••••••• I•• (listed 2021-11-03, absent 2022-03-13)Mar 13, 2022 · Control person left · inference
- Walter Stephen Wescott (Secretary) no longer on Schedule A of S••••••• F•••••••• P••••••• I•• (listed 2018-10-31, absent 2019-01-17)Jan 17, 2019 · Control person left · inference
- Andrew Glen Thomas (Vice President) appeared on Schedule A of S••••••• F•••••••• P••••••• I••Jan 17, 2019 · Control person joined · fact
- Joseph Matthew Hannum (Secretary) appeared on Schedule A of S••••••• F•••••••• P••••••• I••Jan 17, 2019 · 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 email
- info@sterlingadvice.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 973-729-1234reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 973-729-8079reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/sterling-financial-group-njreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 973-729-1234reportedpublic record, Form ADV, Sep 8, 2026
- Contact form
- sterlingadvice.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $95.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026