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.
Former SEC-registered adviser
Sterling Global Strategies, LLC
Latest filing Mar 4, 2019
First filing on the tape Nov 17, 2014 · 16 filings
RAUM
$214M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
33%
$70.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$214M as of Mar 4, 2019
Mar 3, 2015$339M then
HNW client RAUM$26.0M as of Mar 4, 2019
Mar 8, 2018$30.0M then
State-registered IARs (5.B.3)4 as of Mar 4, 2019
Mar 3, 20155 then
Employees (5.A)5 as of Mar 4, 2019
Mar 3, 20157 then
Private funds: no history
RAUM -4.1% over the last fiscal year-18% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 4, 2019; every figure names its basis
- RAUM per advisor
- $53.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $435,752derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$129M60%
- Individuals$44.3M21%
- High-net-worth individuals$26.0M12%
- Pension and profit-sharing plans$15.0M7.0%
- Individual clients
- 150reported
- HNW clients
- 20reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 491reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- John Phillips Paladino to Aurora Private Wealth, Inc.Jul 2, 2019 · RIA to RIA
- Michael Sean Haig to Aurora Private Wealth, Inc.Jul 2, 2019 · RIA to RIA
- Gregory James Carroll to Wwm FinancialJul 2, 2019 · RIA to RIA
- Robert John Cenko to Reliance Investing, Inc.Apr 27, 2017 · Other
Joined, latest
- Robert John Cenko from Northwest Asset ManagementJan 25, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Aurora Private Wealth, Inc.Jul 2, 2019 · Carlsbad, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Gregory Carroll · Presidentcontrolsince 10/2010 · owns less than 5%
- William Mark Eicker · Chief Investment Officercontrolsince 06/2014 · owns 25% to 50%
- Sean Michael Haig · Chief Compliance Officer & Chief Executive Officercontrolsince 10/2010 · owns less than 5%
- James Gregory Carroll · Ownercontrolsince 10/2010 · owns 50% to 75% of Sterling Wealth Management Group, Inc.
- Sean Michael Haig · Ownercontrolsince 10/2010 · owns 50% to 75% of Sterling Wealth Management Group, Inc.
Entity owners
- Sterling Wealth Management Group, Inc. · Managing Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 478 to 491Jun 21, 2018 to Mar 4, 2019
- Advisory employees · 5 to 4Jun 21, 2018 to Mar 4, 2019
- HNW clients · 150 to 20Jun 21, 2018 to Mar 4, 2019
- Individual clients · 20 to 150Jun 21, 2018 to Mar 4, 2019
- Pension plan clients · unset to 5.0Jun 21, 2018 to Mar 4, 2019
- Employees · 6 to 5Jun 21, 2018 to Mar 4, 2019
- State-registered IARs · 5 to 4Jun 21, 2018 to Mar 4, 2019
- Discretionary RAUM · $200M to $213MJun 21, 2018 to Mar 4, 2019
- HNW RAUM · $30.0M to $26.0MJun 21, 2018 to Mar 4, 2019
- Individual RAUM · $191M to $44.3MJun 21, 2018 to Mar 4, 2019
- Non-discretionary RAUM · $23.0M to $1.1MJun 21, 2018 to Mar 4, 2019
- Pension RAUM · $1.5M to $15.0MJun 21, 2018 to Mar 4, 2019
- RAUM · $223M to $214MJun 21, 2018 to Mar 4, 2019
- Accounts · 653 to 478Jul 19, 2017 to Mar 8, 2018
- Advisory employees · 6 to 5Jul 19, 2017 to Mar 8, 2018
- Advisory activities · 4 to 3Jul 19, 2017 to Mar 8, 2018
- BD registered reps · 3 to 2Jul 19, 2017 to Mar 8, 2018
- HNW clients · unset to 150.0Jul 19, 2017 to Mar 8, 2018
- Individual clients · unset to 20.0Jul 19, 2017 to Mar 8, 2018
- State-registered IARs · 6 to 5Jul 19, 2017 to Mar 8, 2018
- Other offices · unset to 0.0Jul 19, 2017 to Mar 8, 2018
- Discretionary RAUM · $223M to $200MJul 19, 2017 to Mar 8, 2018
- HNW RAUM · unset to 30000000.0Jul 19, 2017 to Mar 8, 2018
- Individual RAUM · unset to 190500000.0Jul 19, 2017 to Mar 8, 2018
- Non-discretionary RAUM · $49.9M to $23.0MJul 19, 2017 to Mar 8, 2018
- Pension RAUM · unset to 1500000.0Jul 19, 2017 to Mar 8, 2018
- RAUM · $273M to $223MJul 19, 2017 to Mar 8, 2018
- Accounts · 668 to 653Jan 24, 2017 to Mar 2, 2017
- Advisory employees · 5 to 6Jan 24, 2017 to Mar 2, 2017
- State-registered IARs · 4 to 6Jan 24, 2017 to Mar 2, 2017
- Discretionary RAUM · $294M to $223MJan 24, 2017 to Mar 2, 2017
- Non-discretionary RAUM · $98.8M to $49.9MJan 24, 2017 to Mar 2, 2017
- RAUM · $393M to $273MJan 24, 2017 to Mar 2, 2017
- BD registered reps · 4 to 3Mar 3, 2016 to May 12, 2016
- Accounts · 670 to 668Mar 3, 2015 to Mar 3, 2016
- Advisory employees · 4 to 5Mar 3, 2015 to Mar 3, 2016
- Employees · 7 to 6Mar 3, 2015 to Mar 3, 2016
- State-registered IARs · 5 to 4Mar 3, 2015 to Mar 3, 2016
- Discretionary RAUM · $241M to $294MMar 3, 2015 to Mar 3, 2016
- Non-discretionary RAUM · $98.5M to $98.8MMar 3, 2015 to Mar 3, 2016
Signals
2 dated events
- Sterling Global Strategies, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 17, 2014 · Succession (Item 4) · fact
- Sterling Global Strategies, Llc filed its initial SEC registration (Form ADV)Nov 17, 2014 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026