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••••••• W••••• M••••••••• I•••
Latest filing Mar 26, 2026
First filing on the tape Mar 28, 2012 · 22 filings
SEC status approved since Apr 26, 2018
RAUM
$495M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$444M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$70.7M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$495M as of Mar 26, 2026
Mar 28, 2012$39.3M then
HNW client RAUM$409M as of Mar 26, 2026
Mar 25, 2019$95.9M then
State-registered IARs (5.B.3)7 as of Mar 26, 2026
Mar 28, 20120 then
Employees (5.A)7 as of Mar 26, 2026
Mar 25, 20195 then
Private funds: no history
RAUM +15% over the last fiscal year+20% a year over threeIARs 5 to 7
Practice profile
derived from the filing of Mar 26, 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
- $70.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $671,076derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $3.0M, 10 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$409M83%
- Individuals$34.7M7.0%
- Charitable organizations$32.9M6.6%
- Corporations and businesses$18.0M3.6%
- Individual clients
- 103reported
- HNW clients
- 131reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 737reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.0M for 10 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• C•••••••• A••••Certified Financial Planner | Champaign, Il | Aug 27, 2004 | 22 y | 0 |
| R••••• M•••••• B••••Certified Financial Planner | Champaign, Il | Jul 20, 2012 | 35 y | 3 |
| S••• S•••••• E•••Certified Financial Planner | Champaign, Il | Apr 9, 2020 | 10 y | 0 |
| D••• C•••••• A••••••••Certified Financial Planner, Chartered Financial Analyst | Champaign, Il | Nov 7, 2023 | 16 y | 3 |
| P•••• A••••• J•••••• Z••••• | Champaign, Il | Mar 3, 2025 | 14 y | 0 |
| J•••• S•••••• W••••Certified Financial Planner | Champaign, Il | Oct 3, 2025 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount2 left over 36 months
Left, latest
- D•••• L•• S•• to A••••••••• I•••Jul 7, 2026 · RIA to affiliated broker-dealer or bank
- J••••• P•••••• M••••••••• to O••••••••• • C•• I•••Sep 25, 2024 · RIA to affiliated broker-dealer or bank
- E••••• J••• A••••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Oct 5, 2021 · RIA to RIA
Joined, latest
- D••• C•••••• A•••••••• from S•••••••• A•••••••• L••Nov 7, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••••• P•••••• M••••••••• from H•••• F•••••••• S•••••••• I•••Sep 15, 2021 · RIA to RIA
- R••••• M•••••• B•••• from L•• F•••••••• L••Jul 20, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• S•••••• C•••••••• · Chief Executive Officer, Chief Compliance Officercontrolsince 07/2004 · owns 75% or more
- A••••• M•••••• P• · Chief Operating Officer, Executive Vice Presidentsince 07/2004 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Champaign, Il · principal | 7 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 26, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-26, yes on the filing of 2026-03-26peers: independent wealth managers, $100M to $500M (5,676)
- employee count dropChange between filings · filing Mar 26, 2026employees (Item 5.A) moved from 10.0 to 7.0 (-30.0%) between the annual amendments of 2025-03-26 and 2026-03-26; the peer median change was 0.0% (507 comparable advisers, 6.0th percentile of changes)peers: independent wealth managers, $100M to $500M (507) · 5.7% percentile
What changed
consecutive filings, newest first
- Accounts · 724 to 737Mar 26, 2025 to Mar 26, 2026
- Advisory employees · 6 to 7Mar 26, 2025 to Mar 26, 2026
- Charity clients · 5 to 3Mar 26, 2025 to Mar 26, 2026
- Corporate clients · 2 to 3Mar 26, 2025 to Mar 26, 2026
- HNW clients · 116 to 131Mar 26, 2025 to Mar 26, 2026
- Individual clients · 109 to 103Mar 26, 2025 to Mar 26, 2026
- Assets in custody · unset to 3038875.0Mar 26, 2025 to Mar 26, 2026
- Custody of client assets · false to trueMar 26, 2025 to Mar 26, 2026
- Employees · 10 to 7Mar 26, 2025 to Mar 26, 2026
- State-registered IARs · 5 to 7Mar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $429M to $495MMar 26, 2025 to Mar 26, 2026
- HNW RAUM · $360M to $409MMar 26, 2025 to Mar 26, 2026
- Individual RAUM · $34.1M to $34.7MMar 26, 2025 to Mar 26, 2026
- RAUM · $429M to $495MMar 26, 2025 to Mar 26, 2026
- Accounts · 203 to 724Mar 13, 2024 to Mar 26, 2025
- Charity clients · 4 to 5Mar 13, 2024 to Mar 26, 2025
- HNW clients · 117 to 116Mar 13, 2024 to Mar 26, 2025
- Individual clients · 80 to 109Mar 13, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Mar 13, 2024 to Mar 26, 2025
- Discretionary RAUM · $361M to $429MMar 13, 2024 to Mar 26, 2025
- HNW RAUM · $310M to $360MMar 13, 2024 to Mar 26, 2025
- Individual RAUM · $19.9M to $34.1MMar 13, 2024 to Mar 26, 2025
- RAUM · $361M to $429MMar 13, 2024 to Mar 26, 2025
- Accounts · 553 to 203Jan 2, 2024 to Mar 13, 2024
- Charity clients · 5 to 4Jan 2, 2024 to Mar 13, 2024
- HNW clients · 91 to 117Jan 2, 2024 to Mar 13, 2024
- Individual clients · 83 to 80Jan 2, 2024 to Mar 13, 2024
- Discretionary RAUM · $283M to $361MJan 2, 2024 to Mar 13, 2024
- HNW RAUM · $229M to $310MJan 2, 2024 to Mar 13, 2024
- Individual RAUM · $25.3M to $19.9MJan 2, 2024 to Mar 13, 2024
- RAUM · $283M to $361MJan 2, 2024 to Mar 13, 2024
- Accounts · 496 to 553Mar 31, 2022 to Mar 27, 2023
- Advisory employees · 4 to 6Mar 31, 2022 to Mar 27, 2023
- Advisory activities · 8 to 4Mar 31, 2022 to Mar 27, 2023
- Charity clients · 4 to 5Mar 31, 2022 to Mar 27, 2023
- Corporate clients · 4 to 2Mar 31, 2022 to Mar 27, 2023
- HNW clients · 89 to 91Mar 31, 2022 to Mar 27, 2023
- Individual clients · 87 to 83Mar 31, 2022 to Mar 27, 2023
- Pension plan clients · 2.0 to unsetMar 31, 2022 to Mar 27, 2023
- Employees · 7 to 10Mar 31, 2022 to Mar 27, 2023
Signals
3 dated events
- D•••• L•• S•• left S••••••• W••••• M••••••••• I••• for A••••••••• I••• (registered 2026-07-17)Jul 7, 2026 · Advisor changed firm · fact
- J••••• P•••••• M••••••••• left S••••••• W••••• M••••••••• I••• for O••••••••• • C•• I••• (registered 2024-10-23)Sep 25, 2024 · Advisor changed firm · fact
- S••••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Mar 26, 2018 · First SEC registration · 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
- Website
- x.com\sterlingwealthreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 217-398-1900reportedpublic record, Form ADV, Mar 26, 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
- $70.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026