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.
SEC-registered adviser
Sterling Capital Management LLC
Latest filing Jul 15, 2026
First filing on the tape Mar 26, 2012 · 58 filings
SEC status approved since Jun 2, 2005
RAUM
$69B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
4.0%
$2.8B individuals and HNW
Advisors
33
registered through the firm on IAPD
RAUM per advisor
$2.1B
derived; firm RAUM over IAPD count
Employees
186
64 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
58 filings and snapshots on the tape
RAUM$69B as of Jul 15, 2026
Mar 26, 2012$34B then
HNW client RAUM$2.0B as of Jul 15, 2026
Mar 29, 2018$2.2B then
State-registered IARs (5.B.3)39 as of Jul 15, 2026
Mar 26, 201319 then
Employees (5.A)186 as of Jul 15, 2026
Mar 26, 2013120 then
Private funds: no history
RAUM +4.6% over the last fiscal year+3.3% a year over threeIARs 33 to 39offices 4 to 10
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
Archetypes, each a printed rule
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $2.1BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $19.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 57%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.6derivedItem 5.A over advisors
- Advisors per office
- 3.0derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $18B, 519 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$18B26%
- State and municipal entities$17B25%
- Corporations and businesses$16B23%
- Banks and thrifts$6.2B8.9%
- Investment companies$4.1B6.0%
- Charitable organizations$2.7B3.9%
- High-net-worth individuals$2.0B2.8%
- Insurance companies$1.8B2.6%
- Individuals$800M1.2%
- Pooled investment vehicles$729M1.1%
- Other investment advisers$141M0.2%
- Individual clients
- 1,777reported
- HNW clients
- 1,011reported
- Pension plan clients
- 70reported
- Charitable clients
- 95reported
- Accounts
- 3,508reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $2.7B managedreported
- Custody of client assets
- $18B for 519 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.04 fund_share=0.07 institutional_share=0.57 related_bd=true related_bank=true bd_reps=36.0derived
Advisors registered through the firm
33 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Rebecca Velena Patel | Raleigh, Nc | Jan 18, 2012 | 26 y | 1 |
| Timothy Andrew Sargent | Raleigh, Nc | Jan 19, 2012 | 29 y | 2 |
| Anthony Gerard Delucia | Raleigh, Nc | Jan 19, 2012 | 30 y | 1 |
| John Michael Flowers | Charlotte, Nc | Aug 6, 2014 | 22 y | 4 |
| Andrew Thomas DizioChartered Financial Analyst | King Of Prussia, Pa | Aug 12, 2015 | 23 y | 1 |
| Gerald Michael Van HornChartered Financial Analyst | King Of Prussia, Pa | Aug 24, 2015 | 25 y | 1 |
| James S Atkins | Charlotte, Nc | Jan 13, 2016 | 13 y | 2 |
| Brian Richard Martin | Charlotte, Nc | Jul 28, 2016 | 23 y | 3 |
| Margaret Mary Oleary | Charlotte, Nc | Jan 17, 2017 | 33 y | 8 |
| Whitney Lawrence Stewart | Charlotte, Nc | Oct 5, 2018 | 21 y | 2 |
| Stacey Erin Smith Bryant | Charlotte, Nc | Oct 22, 2019 | 12 y | 1 |
| Daniel A Calabretta | Charlotte, Nc | Jan 6, 2020 | 12 y | 0 |
| Sarah Bennett Palmquist | Knoxville, Tn | Apr 24, 2020 | 17 y | 2 |
| Garrett Stephen Davis | Jupiter, Fl | Aug 11, 2020 | 16 y | 1 |
| John David Gangi | West Palm Beach, Fl | Aug 12, 2020 | 23 y | 1 |
| Stephen Henry FreilichChartered Financial Analyst | West Palm Beach, Fl | Aug 26, 2020 | 13 y | 2 |
| Andrew Richman | Palm Beach Gardens, Fl | Sep 10, 2020 | 35 y | 2 |
| Orton ChenChartered Financial Analyst | Charlotte, Nc | Mar 3, 2022 | 21 y | 3 |
| Linda Michelle Bumgarner | Raleigh, Nc | Jul 22, 2022 | 25 y | 2 |
| Tate Jensen Small | Charlotte, Nc | Jul 28, 2022 | 13 y | 0 |
| John Drexel Barrett | Charlotte, Nc | Aug 24, 2022 | 15 y | 2 |
| Reagan Andrew Shopp | Parker, Co | Jan 17, 2023 | 31 y | 4 |
| Michael Thomas Knorr | Charlotte, Nc | Feb 1, 2023 | 10 y | 1 |
| Michael Jensen | Charlotte, Nc | Mar 14, 2023 | 14 y | 0 |
| Michael James KypreosChartered Financial Analyst | King Of Prussia, Pa | Jun 12, 2023 | 13 y | 1 |
| William Hunter Iobst | Charlotte, Nc | Jan 29, 2024 | 11 y | 1 |
| Ami Vastupal Shah | Charlotte, Nc | May 7, 2025 | 27 y | 8 |
| Grayson Scott Mcclendon | Charlotte, Nc | May 21, 2025 | 12 y | 0 |
| Reginald Shatavist Ferguson | Charlotte, Nc | Jul 11, 2025 | 12 y | 0 |
| Jonathan JenkinsChartered Financial Analyst | King Of Prussia, Pa | Jul 25, 2025 | 11 y | 1 |
| Julia Katherine Scruggs | Charlotte, Nc | Sep 8, 2025 | 12 y | 0 |
| Nathan Ellis Rhees | Charlotte, Nc | Sep 24, 2025 | 26 y | 1 |
| Lydia Sarah Marcinko | Charlotte, Nc | Nov 5, 2025 | 12 y | 1 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 3.0% of current headcount4 left over 36 months
Left, latest
- John W Mcauley to Robert W. Baird & Co. IncorporatedJul 15, 2026 · Other
- Lillian R Stinson to Ally Invest AdvisorsNov 18, 2024 · Other
- Raymond Kevin Peterson to Truist Advisory Services, Inc.Jul 2, 2024 · Other
- Shawn Michael Gallagher to Tower Bridge AdvisorsMay 31, 2024 · Other
- Edward Scott Watson to LPL Financial LLCSep 6, 2023 · Other
- Zachary Daniel Natale to First Trust Advisors LPJun 23, 2022 · Other
- Olivia Reed Kussin to Columbia Management Investment Advisers, LLCJun 15, 2022 · Other
- Donald Mathews Harris to Focus Partners Wealth, LLCFeb 8, 2022 · Other
- Brian Edward Leach to Focus Partners Wealth, LLCFeb 8, 2022 · Other
- Kristina K Saunders to Focus Partners Wealth, LLCFeb 8, 2022 · Other
- Erik Michael Persson to Allspring Funds Management, LLCSep 28, 2020 · Other
- Katelyn Whalen to Ameritas Advisory ServicesNov 7, 2019 · Other
- Kevin James Runge to Queens Oak AdvisorsJul 15, 2019 · Other
- Regan Wall to Saxony Capital Management, LLCMay 1, 2018 · Other
- Ryan Bezek to Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 5, 2016 · Other
Joined, latest
- Lydia Sarah Marcinko from Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 5, 2025 · Other
- Nathan Ellis Rhees from Alta Capital Management LLCSep 24, 2025 · Other
- Jonathan Jenkins from Oppenheimer & Co. Inc.Jul 25, 2025 · Other
- Ami Vastupal Shah from Advisors Asset Management, Inc.May 7, 2025 · Other
- William Hunter Iobst from Truist Advisory Services, Inc.Jan 29, 2024 · Other
- Michael James Kypreos from Clearbridge Investments, LLCJun 12, 2023 · Other
- Michael Thomas Knorr from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 1, 2023 · Other
- Reagan Andrew Shopp from Saxony Capital Management, LLCJan 17, 2023 · Other
- Raymond Kevin Peterson from Bb&T Institutional Investment Advisers, Inc.Dec 5, 2022 · Other
- John Drexel Barrett from OnedigitalAug 24, 2022 · Other
- Linda Michelle Bumgarner from Ascensus Investment Advisors, LLCJul 22, 2022 · Other
- Orton Chen from Wedge Capital Management LlpMar 3, 2022 · Other
- Zachary Daniel Natale from Truist Advisory Services, Inc.Sep 16, 2020 · Other
- Andrew Richman from Truist Advisory Services, Inc.Sep 10, 2020 · Other
- Stephen Henry Freilich from Truist Advisory Services, Inc.Aug 26, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Focus Partners Wealth, LLCFeb 8, 2022 · Washington, Dc
- 5 joined from Truist Advisory Services, Inc.Aug 5, 2020 · Jupiter, Fl
- 3 joined from Stratton Management CompanyAug 3, 2015 · King Of Prussia, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Wilson Robert Bridges · Senior Managing Directorcontrolsince 11/2019 · owns less than 5%
- Arnold Charles Durham · Executive Director, Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- Alan Scott Haenni · Senior Managing Director, Chief Executive Officercontrolsince 03/2023 · owns less than 5%
- Worth Alexander Mcalister · Senior Managing Director, Vice Chaircontrolsince 03/2023 · owns less than 5%
- Kellen Casey Mcintyre · Managing Director, Chief Operating Officercontrolsince 03/2023 · owns less than 5%
- Michel Mark Montgomery · Senior Managing Directorcontrolsince 12/2006 · owns less than 5%
- Michael Andrew Christodoulou · Shareholdercontrolsince 06/2004 · owns 25% to 50% of Minic Investments Limited
- Nicholas Christodoulou · Shareholdercontrolsince 06/2024 · owns 25% to 50% of Minic Investments Limited
- Diana Stephanie Christodoulou · Shareholdercontrolsince 06/2024 · owns 25% to 50% of Minic Investments Limited
- Dimitris-Stavros Chryssafou-Christodoulou · Shareholdercontrolsince 06/2024 · owns 25% to 50% of Minic Investments Limited
Entity owners
- Guardian Capital LLC · Memberdirect · owns 75% or more
- Guardian Capital Group Limited · Direct Ownerindirect · owns 75% or more of Guardian Innovations Inc.
- Guardian Innovations Inc. · Memberindirect · owns 75% or more of Guardian Capital LLC
- Minic Investments Limited · Shareholderindirect · owns 25% to 50% of Guardian Capital Group Limited
Related persons
Schedule D 7.A
- Agincourt Capital Management, LLCinvestment advisernRAUM $10.0B
- Alexandria Bancorp Limitedn
- Alexandria Global Investment Management Ltdinvestment advisern
- Alta Capital Management LLCinvestment advisernRAUM $1.6B
- Guardcap Asset Management Limitedinvestment advisernRAUM $5.9B
- Guardian Capital Advisors LPinvestment advisernRAUM $2.5B
- Guardian Capital LPinvestment advisernRAUM $11B
- Guardian Capital Real Estate Gp Incpooled vehicle sponsorn
- Guardian Partners Inc.investment advisern
- Modern Advisor Canada, Inc.investment advisern
- Rae & Lipskie Investment Counsel Inc.investment advisern
- Sterling Capital (Cayman) Limitedinvestment advisery
Advisers that list Sterling Capital Management LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 19 | 2 | 1 | ||
| King Of Prussia, Pa | 4 | 0 | 0 | ||
| Raleigh, Nc | 4 | 0 | 0 | ||
| West Palm Beach, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Raleigh, NC16 employees
- Virginia Beach, VA11 employees
- King Of Prussia, PA5 employees
- Burlingame, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- office count surgeChange between filings · filing Mar 31, 2026offices other than the principal office (Item 1.F.5) moved from 4.0 to 10.0 (+150.0%) between the annual amendments of 2025-03-26 and 2026-03-31; the peer median change was 0.0% (49 comparable advisers, 100.0th percentile of changes)peers: other advisers, $20B and over (49) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 3,535 to 3,508Aug 11, 2025 to Mar 31, 2026
- Advisory employees · 67 to 64Aug 11, 2025 to Mar 31, 2026
- Advisory activities · 6 to 7Aug 11, 2025 to Mar 31, 2026
- BD registered reps · 28 to 36Aug 11, 2025 to Mar 31, 2026
- Charity clients · 114 to 95Aug 11, 2025 to Mar 31, 2026
- Corporate clients · 261 to 271Aug 11, 2025 to Mar 31, 2026
- HNW clients · 1,000 to 1,011Aug 11, 2025 to Mar 31, 2026
- Individual clients · 1,804 to 1,777Aug 11, 2025 to Mar 31, 2026
- Pension plan clients · 76 to 70Aug 11, 2025 to Mar 31, 2026
- Assets in custody · $17B to $18BAug 11, 2025 to Mar 31, 2026
- Employees · 182 to 186Aug 11, 2025 to Mar 31, 2026
- Financial planning clients · to 1-10Aug 11, 2025 to Mar 31, 2026
- State-registered IARs · 33 to 39Aug 11, 2025 to Mar 31, 2026
- Other offices · 4 to 10Aug 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $66B to $69BAug 11, 2025 to Mar 31, 2026
- HNW RAUM · $1.7B to $2.0BAug 11, 2025 to Mar 31, 2026
- Individual RAUM · $761M to $800MAug 11, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $136M to $85.3MAug 11, 2025 to Mar 31, 2026
- Pension RAUM · $17B to $18BAug 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $836M to $729MAug 11, 2025 to Mar 31, 2026
- RAUM · $66B to $69BAug 11, 2025 to Mar 31, 2026
- Related bank · false to trueAug 11, 2025 to Mar 31, 2026
- Related broker-dealer · false to trueAug 11, 2025 to Mar 31, 2026
- Wrap assets (manager) · $2.2B to $2.7BAug 11, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 26, 2025 to Jun 23, 2025
- Accounts · 3,215 to 3,535Nov 25, 2024 to Mar 26, 2025
- Advisory employees · 69 to 67Nov 25, 2024 to Mar 26, 2025
- BD registered reps · 31 to 28Nov 25, 2024 to Mar 26, 2025
- Charity clients · 103 to 114Nov 25, 2024 to Mar 26, 2025
- Corporate clients · 270 to 261Nov 25, 2024 to Mar 26, 2025
- HNW clients · 1,082 to 1,000Nov 25, 2024 to Mar 26, 2025
- Individual clients · 1,382 to 1,804Nov 25, 2024 to Mar 26, 2025
- Pooled vehicle clients · 7 to 5Nov 25, 2024 to Mar 26, 2025
- Assets in custody · $16B to $17BNov 25, 2024 to Mar 26, 2025
- Employees · 181 to 182Nov 25, 2024 to Mar 26, 2025
- State-registered IARs · 36 to 33Nov 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $67B to $66BNov 25, 2024 to Mar 26, 2025
- HNW RAUM · $1.5B to $1.7BNov 25, 2024 to Mar 26, 2025
- Individual RAUM · $744M to $761MNov 25, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $123M to $136MNov 25, 2024 to Mar 26, 2025
Signals
23 dated events
- John W Mcauley left Sterling Capital Management Llc for Robert W. Baird & Co. Incorporated (registered 2026-07-13)Jul 15, 2026 · Advisor changed firm · fact
- Sterling Capital Management Llc reported 10 offices beyond its principal office, up from 4 (2025-08-11 to 2026-03-31)Mar 31, 2026 · Office count change · derived
- Michael Andrew Christodoulou (Shareholder) appeared on Schedule A of Sterling Capital Management LlcNov 25, 2024 · Control person joined · fact
- Nicholas Christodoulou (Shareholder) appeared on Schedule A of Sterling Capital Management LlcNov 25, 2024 · Control person joined · fact
- Diana Stephanie Christodoulou (Shareholder) appeared on Schedule A of Sterling Capital Management LlcNov 25, 2024 · Control person joined · fact
- Dimitris-Stavros Chryssafou-Christodoulou (Shareholder) appeared on Schedule A of Sterling Capital Management LlcNov 25, 2024 · Control person joined · fact
- Lillian R Stinson left Sterling Capital Management Llc for Ally Invest Advisors (registered 2024-12-06)Nov 18, 2024 · Advisor changed firm · fact
- Sean Brian Dowhower (Board Member) no longer on Schedule A of Sterling Capital Management Llc (listed 2024-03-22, absent 2024-07-11)Jul 11, 2024 · Control person left · inference
- Raymond Kevin Peterson left Sterling Capital Management Llc for Truist Advisory Services, Inc. (registered 2025-10-03)Jul 2, 2024 · Advisor changed firm · fact
- Shawn Michael Gallagher left Sterling Capital Management Llc for Tower Bridge Advisors (registered 2024-07-30)May 31, 2024 · Advisor changed firm · fact
- Edward Scott Watson left Sterling Capital Management Llc for Lpl Financial Llc (registered 2026-09-01)Sep 6, 2023 · Advisor changed firm · fact
- Zachary Daniel Natale left Sterling Capital Management Llc for First Trust Advisors Lp (registered 2022-08-01)Jun 23, 2022 · Advisor changed firm · fact
- Olivia Reed Kussin left Sterling Capital Management Llc for Columbia Management Investment Advisers, Llc (registered 2022-08-02)Jun 15, 2022 · Advisor changed firm · fact
- Donald Mathews Harris left Sterling Capital Management Llc for Focus Partners Wealth, Llc (registered 2022-07-20)Feb 8, 2022 · Advisor changed firm · fact
- Kristina K Saunders left Sterling Capital Management Llc for Focus Partners Wealth, Llc (registered 2024-08-28)Feb 8, 2022 · Advisor changed firm · fact
- Brian Edward Leach left Sterling Capital Management Llc for Focus Partners Wealth, Llc (registered 2024-08-27)Feb 8, 2022 · Advisor changed firm · fact
- 3 advisors left Sterling Capital Management LLC (Washington, DC) for Focus Partners Wealth, LLC on the same dayFeb 8, 2022 · Team lift-out · derived
- Sean Brian Dowhower (Board Member) appeared on Schedule A of Sterling Capital Management LlcMar 31, 2021 · Control person joined · fact
- Bernard John Jung (Board Member) no longer on Schedule A of Sterling Capital Management Llc (listed 2020-06-26, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Michael John Howard (Board Member) no longer on Schedule A of Sterling Capital Management Llc (listed 2020-06-26, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Todd Richard Lacoff (Senior Managing Director, Board Member) no longer on Schedule A of Sterling Capital Management Llc (listed 2019-09-12, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Wilson Robert Bridges (Senior Managing Director, Board Member) appeared on Schedule A of Sterling Capital Management LlcMar 30, 2020 · Control person joined · fact
- Kellen Casey Mcintyre (Executive Director, Chief Administrative Officer) appeared on Schedule A of Sterling Capital Management LlcMar 29, 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
- Firm profile
- LINKEDIN.COM/COMPANY/STERLINGCAPITALMANAGEMENTreportedpublic record, Form ADV, Sep 17, 2026
- Website
- STERLINGCAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 704-927-4175reportedpublic record, Form ADV, Jul 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $2.1Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026