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
Per Stirling Capital Management, LLC
Latest filing Mar 30, 2026
First filing on the tape Mar 8, 2012 · 33 filings
SEC status approved since Oct 28, 2009
RAUM
$1.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$1.5B individuals and HNW
Advisors
31
registered through the firm on IAPD
RAUM per advisor
$50.5M
derived; firm RAUM over IAPD count
Employees
30
30 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.6B as of Mar 30, 2026
Mar 8, 2012$96.0M then
HNW client RAUM$1.2B as of Mar 30, 2026
Jan 31, 2018$365M then
State-registered IARs (5.B.3)30 as of Mar 30, 2026
Mar 20, 201311 then
Employees (5.A)30 as of Mar 30, 2026
Mar 20, 201311 then
Private funds: no history
RAUM +13% over the last fiscal year+9.7% a year over threeIARs 29 to 30
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $50.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $415,831derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 15.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +3.4%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.2%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, selection of other advisersreportedItem 5.G
- Custody
- $1.2B, 965 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B75%
- Individuals$286M18%
- Corporations and businesses$101M6.5%
- Charitable organizations$2.5M0.2%
- Individual clients
- 603reported
- HNW clients
- 471reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,766reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 965 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=16.0derived
Advisors registered through the firm
31 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Per Osullivan | Austin, Tx | Nov 19, 2009 | 24 y | 4 |
| Robert Stirling Phipps | Austin, Tx | Nov 24, 2009 | 39 y | 5 |
| Ronsey ChawlaCertified Financial Planner | Austin, Tx | Sep 6, 2012 | 14 y | 0 |
| Ryan Patrick JoyceCertified Financial Planner | Austin, Tx | Apr 1, 2013 | 21 y | 2 |
| Katherine Cannon Zamora | Austin, Tx | May 28, 2013 | 29 y | 5 |
| Carol Elois Sheffield | Austin, Tx | Oct 8, 2013 | 15 y | 0 |
| Galen Trevor Gabourel | Austin, Tx | Apr 2, 2014 | 14 y | 1 |
| Kenneth Wayne PriceCertified Financial Planner, Chartered Financial Consultant | Austin, Tx | Jun 16, 2015 | 30 y | 2 |
| Kimberly Dawn Ray | Austin, Tx | Oct 13, 2015 | 21 y | 0 |
| Tasha Lynn RockCertified Financial Planner | Austin, Tx | Feb 2, 2016 | 30 y | 2 |
| John Robert Brem | Austin, Tx | Jun 17, 2016 | 33 y | 1 |
| Richard Leon HallumCertified Financial Planner | Austin, Tx | Jan 5, 2017 | 35 y | 3 |
| Amber Jean Bell | Austin, Tx | Jan 5, 2017 | 16 y | 5 |
| Barton Lake CouchCertified Financial Planner | Austin, Tx | Jan 5, 2017 | 41 y | 3 |
| Matthew James AndersonCertified Financial Planner | Austin, Tx | Jan 18, 2017 | 21 y | 1 |
| Rachel M. HurleyCertified Financial Planner | Austin, Tx | May 3, 2017 | 11 y | 0 |
| Nathan Everett Trenholm | Austin, Tx | Jul 7, 2017 | 15 y | 2 |
| Michael Andre MooreCertified Financial Planner | Austin, Tx | Aug 7, 2017 | 18 y | 0 |
| Michael David Katrein | Austin, Tx | Jan 2, 2018 | 10 y | 1 |
| Martin Katrein | Austin, Tx | Jan 2, 2018 | 44 y | 1 |
| Gay Fannie ThompsonCertified Financial Planner | Austin, Tx | Aug 23, 2018 | 17 y | 3 |
| Taylor Lee PetersonCertified Financial Planner | Austin, Tx | Jun 8, 2021 | 12 y | 3 |
| Bradford Borman | Austin, Tx | Aug 2, 2022 | 12 y | 0 |
| Alexander Richmond HallumCertified Financial Planner | Austin, Tx | Jun 2, 2023 | 12 y | 0 |
| Katherine Sung | Austin, Tx | Jun 30, 2023 | 10 y | 2 |
| Jocelyn C White | Austin, Tx | Jul 10, 2023 | 12 y | 0 |
| Steven Allen CartwrightCertified Financial Planner | Austin, Tx | Sep 29, 2023 | 32 y | 2 |
| Deanna Lee AustinCertified Financial Planner | Austin, Tx | Jan 8, 2024 | 10 y | 0 |
| Mason Vrazel | Austin, Tx | Oct 13, 2025 | 10 y | 0 |
| Eric Gin Wai Lian | Austin, Tx | Nov 17, 2025 | 23 y | 2 |
| Noe Robert Lopez | Austin, Tx | Jan 8, 2026 | 10 y | 3 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 3.2% of current headcount1 left over 36 months
Left, latest
- Timothy Mark Rolls to Integrity Alliance, LLCOct 21, 2025 · RIA to affiliated broker-dealer or bank
- Mary Voll Miller to Mission Wealth Management, LPMar 31, 2023 · RIA to RIA
- Alison Rose Miller to Mission Wealth Management, LPMar 31, 2023 · RIA to RIA
- Ryan Lane Mcdonald to Vann Equity Management LLCNov 12, 2021 · Other
- Richard Alan Maples to Vann Equity Management LLCNov 12, 2021 · Other
- Fadi Boury to Investor'S AdvantageAug 2, 2021 · RIA to RIA
- Julie Kay Nielsen to Capital Advisors, Inc.Jun 25, 2021 · RIA to RIA
- Martha Ruth Egli to J.P. Morgan Securities LLCJan 3, 2020 · RIA to wirehouse
- John Allen Vann to Vann Equity Management LLCDec 11, 2019 · Other
- Bryant Hayes to J.P. Morgan Securities LLCApr 15, 2019 · RIA to wirehouse
- Manuel Enrique Ramirez to Versai Wealth Management LLCJun 28, 2018 · RIA to a state-registered adviser
- Scott Wayne Wallace to Charles Schwab & Co., Inc.Aug 18, 2015 · Other
- Taylor Lee Peterson to First Heartland Consultants, Inc.Aug 18, 2015 · Other
- Mauricio Sanchez to SpcDec 15, 2014 · Other
- Julia Yuryevna Gavrilov to South Texas Money Management, Ltd.Nov 14, 2014 · Other
Joined, latest
- Noe Robert Lopez from J.P. Morgan Securities LLCJan 8, 2026 · Wirehouse to independent RIA
- Eric Gin Wai Lian from Centric Advisors, LLCNov 17, 2025 · RIA to RIA
- Timothy Mark Rolls from Kestra Advisory Services, LLCMar 28, 2025 · Affiliated broker-dealer or bank to independent RIA
- Steven Allen Cartwright from Ascensus Investment Advisors, LLCSep 29, 2023 · Other
- Katherine Sung from Wells Fargo AdvisorsJun 30, 2023 · Wirehouse to independent RIA
- Taylor Lee Peterson from Richard W. Paul & Associates, LLCJun 8, 2021 · RIA to RIA
- Richard Alan Maples from Trs Advisors, LLCFeb 26, 2020 · Other
- Ryan Lane Mcdonald from Trs Advisors, LLCFeb 3, 2020 · Other
- Fadi Boury from Investor'S Advantage, L.L.C.Oct 4, 2019 · RIA to RIA
- Julie Kay Nielsen from United Capital Financial AdvisorsJun 7, 2019 · Other
- Bryant Hayes from Capital One Advisors, LLCFeb 28, 2019 · Other
- John Allen Vann from Level Four Advisory ServicesSep 27, 2018 · Affiliated broker-dealer or bank to independent RIA
- Gay Fannie Thompson from MML Investors Services, LLCAug 23, 2018 · Affiliated broker-dealer or bank to independent RIA
- Michael David Katrein from Retirement Consulting Services, Inc.Jan 2, 2018 · Other
- Martin Katrein from Retirement Consulting Services, Inc.Jan 2, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Mission Wealth Management, LPMar 31, 2023 · Austin, Tx
- 2 left for Vann Equity Management LLCNov 12, 2021 · Austin, Tx
- 2 joined from Retirement Consulting Services, Inc.Mar 31, 2018 · Addison, Tx
- 4 joined from Couch Hallum Financial GroupMar 31, 2017 · Austin, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jean Amber Bell · Chief Compliance Officercontrolsince 02/2022 · owns less than 5%
- Per John Osullivan · Managing Membercontrolsince 09/2009 · owns 25% to 50%
- Stirling Robert Phipps · Managing Membercontrolsince 09/2009 · owns 25% to 50%
- Elois Carol Sheffield · Chief Operations Officercontrolsince 06/2021 · owns less than 5%
- Alan Richard Jacobs · Membersince 02/2015 · 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 |
|---|---|---|---|---|---|
| Austin, Tx · principal | 31 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Austin, TX12 employees
- Dallas, TX2 employees
What changed
consecutive filings, newest first
- Accounts · 3,584 to 3,766Mar 28, 2025 to Mar 30, 2026
- Corporate clients · 29 to 27Mar 28, 2025 to Mar 30, 2026
- HNW clients · 432 to 471Mar 28, 2025 to Mar 30, 2026
- Individual clients · 561 to 603Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $1.0B to $1.2BMar 28, 2025 to Mar 30, 2026
- State-registered IARs · 29 to 30Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.4B to $1.6BMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $1.0B to $1.2BMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $241M to $286MMar 28, 2025 to Mar 30, 2026
- RAUM · $1.4B to $1.6BMar 28, 2025 to Mar 30, 2026
- Accounts · 3,400 to 3,584Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 29 to 30Mar 28, 2024 to Mar 28, 2025
- BD registered reps · 14 to 16Mar 28, 2024 to Mar 28, 2025
- Corporate clients · 18 to 29Mar 28, 2024 to Mar 28, 2025
- HNW clients · 390 to 432Mar 28, 2024 to Mar 28, 2025
- Individual clients · 592 to 561Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $853M to $1.0BMar 28, 2024 to Mar 28, 2025
- Employees · 29 to 30Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · 101-250 to 101-250Mar 28, 2024 to Mar 28, 2025
- Other offices · 2 to 1Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.2B to $1.4BMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $891M to $1.0BMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $250M to $241MMar 28, 2024 to Mar 28, 2025
- RAUM · $1.2B to $1.4BMar 28, 2024 to Mar 28, 2025
- Advisory employees · 30 to 29Mar 31, 2023 to Mar 28, 2024
- BD registered reps · 12 to 14Mar 31, 2023 to Mar 28, 2024
- Corporate clients · 13 to 18Mar 31, 2023 to Mar 28, 2024
- HNW clients · 341 to 390Mar 31, 2023 to Mar 28, 2024
- Individual clients · 700 to 592Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $764M to $853MMar 31, 2023 to Mar 28, 2024
- Employees · 30 to 29Mar 31, 2023 to Mar 28, 2024
- State-registered IARs · 27 to 29Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.2B to $1.2BMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $836M to $891MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $298M to $250MMar 31, 2023 to Mar 28, 2024
- RAUM · $1.2B to $1.2BMar 31, 2023 to Mar 28, 2024
- Accounts · 3,434 to 3,400Mar 31, 2023 to Mar 28, 2024
- Accounts · 3,464 to 3,434Mar 28, 2022 to Mar 31, 2023
- BD registered reps · 13 to 12Mar 28, 2022 to Mar 31, 2023
- Corporate clients · 12 to 13Mar 28, 2022 to Mar 31, 2023
Signals
7 dated events
- Timothy Mark Rolls left Per Stirling Capital Management, Llc for Integrity Alliance, Llc (registered 2026-03-25)Oct 21, 2025 · Advisor changed firm · fact
- Alison Rose Miller left Per Stirling Capital Management, Llc for Mission Wealth Management, Lp (registered 2023-03-02)Mar 31, 2023 · Advisor changed firm · fact
- Mary Voll Miller left Per Stirling Capital Management, Llc for Mission Wealth Management, Lp (registered 2023-03-02)Mar 31, 2023 · Advisor changed firm · fact
- 2 advisors left Per Stirling Capital Management, LLC (Austin, TX) for Mission Wealth Management, LP on the same dayMar 31, 2023 · Team lift-out · derived
- Jean Amber Bell (Chief Compliance Officer) appeared on Schedule A of Per Stirling Capital Management, LlcMar 25, 2022 · Control person joined · fact
- Carol Sheffield (Chief Operations Officer) appeared on Schedule A of Per Stirling Capital Management, LlcAug 17, 2021 · Control person joined · fact
- Per Stirling Capital Management, Llc reported RAUM $1.1B, up 61% from $677.0M (2018-08-31 to 2019-03-21)Mar 21, 2019 · RAUM change · derived
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@perstirling.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 512-551-0050reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 512-628-2300reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/PER-STIRLINGreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PERSTIRLING.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 512-628-2300reportedpublic record, Form ADV, Mar 30, 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
- $50.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026