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••••••• I••••••••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 30, 2012 · 23 filings
SEC status approved since Oct 16, 1995
RAUM
$409M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$354M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$409M as of Mar 18, 2026
Mar 30, 2012$215M then
HNW client RAUM$322M as of Mar 18, 2026
Mar 23, 2018$237M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Mar 30, 20120 then
Employees (5.A)8 as of Mar 18, 2026
Mar 28, 20137 then
Private funds: no history
RAUM +14% over the last fiscal year+6.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$322M79%
- Individuals$32.5M7.9%
- Charitable organizations$26.2M6.4%
- Corporations and businesses$24.2M5.9%
- State and municipal entities$4.5M1.1%
- Individual clients
- 65reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 399reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.08 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••• H••••• P••••Chartered Financial Analyst | Tucson, Az | Feb 22, 2012 | 30 y | 1 |
| A••••••• M••••••• A•••••••Chartered Financial Analyst | Tucson, Az | Dec 9, 2014 | 11 y | 0 |
| R••• A•••••••• P••••••••Certified Financial Planner, Chartered Financial Consultant | Tucson, Az | Aug 9, 2021 | 10 y | 1 |
| N••••• J• S•••• | Tucson, Az | Aug 21, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- D•••• W•••••• K••••••• to A•••••• C•••••• L••Jan 8, 2020 · RIA to RIA
- A••• S•••• B••••• to A•••••• C•••••• L••Jan 8, 2020 · RIA to RIA
- J•••• A••••• G••• to A•••••• C•••••• L••Jan 8, 2020 · RIA to RIA
Joined, latest
- R••• A•••••••• P•••••••• from L•• F•••••••• L••Aug 9, 2021 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for A•••••• C•••••• L••Jan 8, 2020 · Tucson, Az · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• J•••• H••••• · Managing Partner, Chief Investment Officercontrolsince 09/1995 · owns 75% or more
- A•••••••• A•••••••• M••••••• · Portfolio Managersince 01/2022 · owns 5% to 10%
- K••••• C••••••• P••••••• · Chief Compliance Officersince 05/2015 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Tucson, Az · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- S••••Sdale, AZ1 employees
What changed
consecutive filings, newest first
- Accounts · 153 to 399Mar 27, 2025 to Mar 18, 2026
- Charity clients · 9 to 7Mar 27, 2025 to Mar 18, 2026
- Corporate clients · unset to 4.0Mar 27, 2025 to Mar 18, 2026
- HNW clients · 72 to 74Mar 27, 2025 to Mar 18, 2026
- Individual clients · 67 to 65Mar 27, 2025 to Mar 18, 2026
- Discretionary RAUM · $361M to $409MMar 27, 2025 to Mar 18, 2026
- HNW RAUM · $278M to $322MMar 27, 2025 to Mar 18, 2026
- Individual RAUM · $31.3M to $32.5MMar 27, 2025 to Mar 18, 2026
- RAUM · $361M to $409MMar 27, 2025 to Mar 18, 2026
- Accounts · 402 to 153Mar 26, 2024 to Mar 27, 2025
- Advisory activities · 3 to 4Mar 26, 2024 to Mar 27, 2025
- Charity clients · 10 to 9Mar 26, 2024 to Mar 27, 2025
- HNW clients · 74 to 72Mar 26, 2024 to Mar 27, 2025
- Individual clients · 68 to 67Mar 26, 2024 to Mar 27, 2025
- Financial planning clients · 51-100 to 51-100Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $371M to $361MMar 26, 2024 to Mar 27, 2025
- HNW RAUM · $280M to $278MMar 26, 2024 to Mar 27, 2025
- Individual RAUM · $31.1M to $31.3MMar 26, 2024 to Mar 27, 2025
- RAUM · $371M to $361MMar 26, 2024 to Mar 27, 2025
- Accounts · 420 to 402Mar 22, 2023 to Mar 26, 2024
- Charity clients · 9 to 10Mar 22, 2023 to Mar 26, 2024
- Individual clients · 77 to 68Mar 22, 2023 to Mar 26, 2024
- Financial planning clients · 1-10 to 51-100Mar 22, 2023 to Mar 26, 2024
- Discretionary RAUM · $342M to $371MMar 22, 2023 to Mar 26, 2024
- HNW RAUM · $251M to $280MMar 22, 2023 to Mar 26, 2024
- Individual RAUM · $31.0M to $31.1MMar 22, 2023 to Mar 26, 2024
- Pension RAUM · 3466075.0 to unsetMar 22, 2023 to Mar 26, 2024
- RAUM · $342M to $371MMar 22, 2023 to Mar 26, 2024
- Accounts · 436 to 420Mar 31, 2022 to Mar 22, 2023
- Charity clients · 7 to 9Mar 31, 2022 to Mar 22, 2023
- HNW clients · 60 to 74Mar 31, 2022 to Mar 22, 2023
- Individual clients · 82 to 77Mar 31, 2022 to Mar 22, 2023
- Employees · 7 to 8Mar 31, 2022 to Mar 22, 2023
- Discretionary RAUM · $338M to $342MMar 31, 2022 to Mar 22, 2023
- HNW RAUM · $235M to $251MMar 31, 2022 to Mar 22, 2023
- Individual RAUM · $39.2M to $31.0MMar 31, 2022 to Mar 22, 2023
- Pension RAUM · $5.2M to $3.5MMar 31, 2022 to Mar 22, 2023
- RAUM · $338M to $342MMar 31, 2022 to Mar 22, 2023
- Accounts · 404 to 436Feb 16, 2022 to Mar 31, 2022
- Advisory employees · 3 to 4Feb 16, 2022 to Mar 31, 2022
Signals
1 dated events
- S••••••• I••••••••• M••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 31, 2022 · Succession (Item 4) · 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
- 520-293-3311reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-483-3311reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S•••••••INVESTMENTMANAGEMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 520-293-3311reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- sterlinginvestmentmanagement.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- sterlinginvestmentmanagement.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026