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••••••• M•••• F••••••••• L••
Latest filing May 11, 2026
First filing on the tape Jun 8, 2016 · 40 filings
SEC status approved since Jun 24, 2016
RAUM
$201M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$199M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$67.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$201M as of May 11, 2026
Jan 30, 2017$56.6M then
HNW client RAUM$105M as of May 11, 2026
Feb 13, 2018$9.5M then
State-registered IARs (5.B.3)3 as of May 11, 2026
Jan 30, 20175 then
Employees (5.A)3 as of May 11, 2026
Jan 30, 20175 then
Private funds: no history
RAUM +17% over the last fiscal year+9.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of May 11, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $67.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $217,539derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $201MreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$105M52%
- Individuals$94.1M47%
- Charitable organizations$919,5050.5%
- Pension and profit-sharing plans$799,9390.4%
- Individual clients
- 339reported
- HNW clients
- 54reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 924reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• W•••••• F••••••• | Saratoga Springs, Ny | Sep 2, 2016 | 20 y | 1 |
| A••• F••••••• D••• | Saratoga Springs, Ny | Jul 30, 2021 | 21 y | 1 |
| S•••••• M•••••• K•••Certified Financial Planner | Saratoga Springs, Ny | Aug 19, 2021 | 22 y | 1 |
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
- S•••••• A••••• J•••••• to K•• I••••••••• S••••••• L••Jun 5, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- S•••••• M•••••• K••• from C•••••• G•••• • C• I••Aug 19, 2021 · Affiliated broker-dealer or bank to independent RIA
- A••• F••••••• D••• from C•••••• G•••• • C• I••Jul 30, 2021 · Affiliated broker-dealer or bank to independent RIA
- S•••••• A••••• J•••••• from C•••••• G•••• • C• I••Oct 14, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••• G•••• • C• I••Dec 31, 2024 · Saratoga Springs, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• A•••• F••••••• · Managing Membercontrolsince 04/2006 · owns 50% to 75%
- K•••• S••••••• M•••••• · Managing Member & Chief Compliance Officercontrolsince 04/2006 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Saratoga Springs, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $200M to $200MFeb 4, 2026 to May 11, 2026
- HNW RAUM · $105M to $105MFeb 4, 2026 to May 11, 2026
- Individual RAUM · $94.0M to $94.1MFeb 4, 2026 to May 11, 2026
- Non-discretionary RAUM · $1.5M to $1.4MFeb 4, 2026 to May 11, 2026
- Pension RAUM · $750,000 to $799,939Feb 4, 2026 to May 11, 2026
- RAUM · $201M to $201MFeb 4, 2026 to May 11, 2026
- Accounts · 949 to 924Mar 14, 2025 to Feb 4, 2026
- HNW clients · 42 to 54Mar 14, 2025 to Feb 4, 2026
- Individual clients · 358 to 339Mar 14, 2025 to Feb 4, 2026
- Discretionary RAUM · $170M to $200MMar 14, 2025 to Feb 4, 2026
- HNW RAUM · $79.9M to $105MMar 14, 2025 to Feb 4, 2026
- Individual RAUM · $90.0M to $94.0MMar 14, 2025 to Feb 4, 2026
- Non-discretionary RAUM · $1.2M to $1.5MMar 14, 2025 to Feb 4, 2026
- Pension RAUM · $531,000 to $750,000Mar 14, 2025 to Feb 4, 2026
- RAUM · $171M to $201MMar 14, 2025 to Feb 4, 2026
- Accounts · 893 to 949Jan 8, 2025 to Mar 14, 2025
- HNW clients · 31 to 42Jan 8, 2025 to Mar 14, 2025
- Individual clients · 394 to 358Jan 8, 2025 to Mar 14, 2025
- Pension plan clients · 0 to 1Jan 8, 2025 to Mar 14, 2025
- Financial planning clients · 1-10 to 1-10Jan 8, 2025 to Mar 14, 2025
- Discretionary RAUM · $159M to $170MJan 8, 2025 to Mar 14, 2025
- HNW RAUM · $63.2M to $79.9MJan 8, 2025 to Mar 14, 2025
- Individual RAUM · $96.2M to $90.0MJan 8, 2025 to Mar 14, 2025
- Non-discretionary RAUM · $1.5M to $1.2MJan 8, 2025 to Mar 14, 2025
- Pension RAUM · $0 to $531,000Jan 8, 2025 to Mar 14, 2025
- RAUM · $160M to $171MJan 8, 2025 to Mar 14, 2025
- BD registered reps · 3 to 0Feb 23, 2024 to Jan 8, 2025
- Insurance-licensed employees · 3 to 0Feb 23, 2024 to Jan 8, 2025
- Accounts · 897 to 893Jan 22, 2024 to Feb 23, 2024
- HNW clients · 24 to 31Jan 22, 2024 to Feb 23, 2024
- Individual clients · 548 to 394Jan 22, 2024 to Feb 23, 2024
- Financial planning clients · 11-25 to 1-10Jan 22, 2024 to Feb 23, 2024
- Discretionary RAUM · $150M to $159MJan 22, 2024 to Feb 23, 2024
- HNW RAUM · $48.0M to $63.2MJan 22, 2024 to Feb 23, 2024
- Individual RAUM · $103M to $96.2MJan 22, 2024 to Feb 23, 2024
- Non-discretionary RAUM · $1.7M to $1.5MJan 22, 2024 to Feb 23, 2024
- RAUM · $152M to $160MJan 22, 2024 to Feb 23, 2024
- Other offices · 1 to 0Jun 5, 2023 to Sep 8, 2023
- Advisory employees · 4 to 3Mar 21, 2023 to Jun 5, 2023
- BD registered reps · 4 to 3Mar 21, 2023 to Jun 5, 2023
Signals
4 dated events
- 2 advisors left C•••••• G•••• • C• I•• (Saratoga Springs, NY) for S••••••• M•••• F••••••••• L•• on the same dayDec 31, 2024 · Team lift-out · derived
- Arthur Stephen Jenkins (Managing Member) no longer on Schedule A of S••••••• M•••• F••••••••• L•• (listed 2023-09-08, absent 2024-01-02)Jan 2, 2024 · Control person left · inference
- S•••••• A••••• J•••••• left S••••••• M•••• F••••••••• L•• for K•• I••••••••• S••••••• L•• (registered 2024-01-22)Jun 5, 2023 · Advisor changed firm · fact
- S••••••• M•••• F••••••••• L•• filed its initial SEC registration (Form ADV)Jun 8, 2016 · 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
- Business email
- info@sterlingmanorfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- smk@sterlingmanorfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- afd@sterlingmanorfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- gina@sterlingmanorfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jim@sterlingmanorfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 518-583-4624reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 518-306-6664reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 518-583-4040reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 518-583-4040reportedpublic record, Form ADV, May 11, 2026
- Contact form
- sterlingmanorfinancial.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- sterlingmanorfinancial.com/our-advisorsreportedpublished by the firm, firm site, Sep 16, 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
- $67.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026