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 Financial Group, Inc.

Former SEC-registered adviserPasadena, CaliforniaCRD 300327SEC 801-114827websiteIAPD
Latest filing Feb 9, 2026
First filing on the tape Feb 11, 2019 · 20 filings
SEC status approved since Feb 22, 2019
RAUM
$16.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$16.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$16.1M as of Feb 9, 2026
Mar 29, 2020$168M then
HNW client RAUM$12.3M as of Feb 9, 2026
Mar 29, 2020$127M then
State-registered IARs (5.B.3)4 as of Feb 9, 2026
Mar 29, 20201 then
Employees (5.A)7 as of Feb 9, 2026
Mar 29, 20206 then
Private funds: no history
RAUM -96% over the last fiscal year-61% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 9, 2026; every figure names its basis
RAUM per advisor
$4.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
14derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$491,677derivedHNW RAUM over HNW clients
Average account
$282,497derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-96%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-72%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 advisers, publications, educational seminarsreportedItem 5.G
Wrap fee program
$31.7MreportedItem 5.I
Custody
$5.0M, 16 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)
  • 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$12.3M76%
  • Individuals$3.8M24%
Individual clients
32reported
HNW clients
25reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
57reported
Financial planning clients
1-10reported
Wrap fee programs
$15.8M sponsored, $15.8M managedreported
Custody of client assets
$5.0M for 16 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
4 left, 0 joined in 12 months
net -4 in 12 months4 left in 90 days0 joined in 90 days4 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Austin Kody Brown · Secretary, Directorcontrol
      since 10/2023 · owns 10% to 25%
    • George Berkeley Harrison · Chief Compliance Officercontrol
      since 03/2021 · owns less than 5%
    • Patrick Michael Hatch · President, Directorcontrol
      since 12/2018 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Pasadena, Ca · principal004
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 604 to 57
      Nov 5, 2025 to Feb 9, 2026
    • Corporate clients · 1.0 to unset
      Nov 5, 2025 to Feb 9, 2026
    • HNW clients · 87 to 25
      Nov 5, 2025 to Feb 9, 2026
    • Individual clients · 124 to 32
      Nov 5, 2025 to Feb 9, 2026
    • Pension plan clients · 2.0 to unset
      Nov 5, 2025 to Feb 9, 2026
    • Assets in custody · $113M to $5.0M
      Nov 5, 2025 to Feb 9, 2026
    • Insurance-licensed employees · 0 to 4
      Nov 5, 2025 to Feb 9, 2026
    • Discretionary RAUM · $388M to $16.1M
      Nov 5, 2025 to Feb 9, 2026
    • HNW RAUM · $318M to $12.3M
      Nov 5, 2025 to Feb 9, 2026
    • Individual RAUM · $87.8M to $3.8M
      Nov 5, 2025 to Feb 9, 2026
    • Non-discretionary RAUM · $18.6M to $32,080
      Nov 5, 2025 to Feb 9, 2026
    • Pension RAUM · 1034397.0 to unset
      Nov 5, 2025 to Feb 9, 2026
    • RAUM · $407M to $16.1M
      Nov 5, 2025 to Feb 9, 2026
    • Wrap assets (manager) · $233M to $15.8M
      Nov 5, 2025 to Feb 9, 2026
    • Wrap assets (sponsor) · $1.8M to $15.8M
      Nov 5, 2025 to Feb 9, 2026
    • Accounts · 580 to 604
      Jun 30, 2025 to Nov 5, 2025
    • HNW clients · 83 to 87
      Jun 30, 2025 to Nov 5, 2025
    • Individual clients · 117 to 124
      Jun 30, 2025 to Nov 5, 2025
    • Assets in custody · $133M to $113M
      Jun 30, 2025 to Nov 5, 2025
    • Discretionary RAUM · $350M to $388M
      Jun 30, 2025 to Nov 5, 2025
    • HNW RAUM · $315M to $318M
      Jun 30, 2025 to Nov 5, 2025
    • Individual RAUM · $45.1M to $87.8M
      Jun 30, 2025 to Nov 5, 2025
    • Non-discretionary RAUM · $11.8M to $18.6M
      Jun 30, 2025 to Nov 5, 2025
    • Pension RAUM · $859,443 to $1.0M
      Jun 30, 2025 to Nov 5, 2025
    • RAUM · $361M to $407M
      Jun 30, 2025 to Nov 5, 2025
    • Wrap assets (manager) · $223M to $233M
      Jun 30, 2025 to Nov 5, 2025
    • Financial planning clients · 1-10 to 1-10
      Apr 1, 2025 to Jun 30, 2025
    • Accounts · 551 to 580
      Oct 24, 2024 to Apr 1, 2025
    • HNW clients · 58 to 83
      Oct 24, 2024 to Apr 1, 2025
    • Individual clients · 129 to 117
      Oct 24, 2024 to Apr 1, 2025
    • Pension plan clients · 1 to 2
      Oct 24, 2024 to Apr 1, 2025
    • Assets in custody · $113M to $133M
      Oct 24, 2024 to Apr 1, 2025
    • Employees · 6 to 7
      Oct 24, 2024 to Apr 1, 2025
    • Discretionary RAUM · $311M to $350M
      Oct 24, 2024 to Apr 1, 2025
    • HNW RAUM · $269M to $315M
      Oct 24, 2024 to Apr 1, 2025
    • Individual RAUM · $52.8M to $45.1M
      Oct 24, 2024 to Apr 1, 2025
    • Non-discretionary RAUM · $10.9M to $11.8M
      Oct 24, 2024 to Apr 1, 2025
    • Pension RAUM · $14,243 to $859,443
      Oct 24, 2024 to Apr 1, 2025
    • RAUM · $322M to $361M
      Oct 24, 2024 to Apr 1, 2025
    • Wrap assets (manager) · $300M to $223M
      Oct 24, 2024 to Apr 1, 2025
    Signals
    10 dated events
    • Sterling Financial Group, Inc. no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $16.1M)
      Jul 1, 2026 · Left the SEC roster · derived
    • Danielle Riana Smith left Sterling Financial Group, Inc. for Sequoia Financial Group, L.L.C. (registered 2025-10-16)
      Jun 30, 2026 · Advisor changed firm · fact
    • Kody Austin Brown left Sterling Financial Group, Inc. for Sequoia Financial Group, L.L.C. (registered 2025-10-16)
      Jun 30, 2026 · Advisor changed firm · fact
    • Michael Patrick Hatch left Sterling Financial Group, Inc. for Sequoia Financial Group, L.L.C. (registered 2025-10-16)
      Jun 30, 2026 · Advisor changed firm · fact
    • Berkeley George Harrison left Sterling Financial Group, Inc. for Sequoia Financial Group, L.L.C. (registered 2025-10-16)
      Jun 30, 2026 · Advisor changed firm · fact
    • Sterling Financial Group, Inc.'s advisors moved to Sequoia Financial Group, L.L.C. (Pasadena, CA): 4 of 4 registered, on the same day
      Jun 30, 2026 · Firm absorbed (people side) · derived
    • Sterling Financial Group, Inc. reported RAUM $16.1M, down 96% from $406.6M (2025-11-05 to 2026-02-09)
      Feb 9, 2026 · RAUM change · derived
    • Austin Kody Brown (Secretary, Director) appeared on Schedule A of Sterling Financial Group, Inc.
      Nov 10, 2023 · Control person joined · fact
    • George Berkeley Harrison (Chief Compliance Officer) appeared on Schedule A of Sterling Financial Group, Inc.
      Mar 31, 2021 · Control person joined · fact
    • Sterling Financial Group, Inc. filed its initial SEC registration (Form ADV)
      Feb 11, 2019 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    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