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••••••• I•••••••• L•
Latest filing May 12, 2026
First filing on the tape Dec 21, 2020 · 11 filings
SEC status approved since Jan 21, 2021
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$1.1B as of May 12, 2026
Mar 30, 2022$411M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 12, 2026
Mar 17, 20210 then
Employees (5.A)15 as of May 12, 2026
Mar 17, 20212 then
Private funds2 as of May 12, 2026
Mar 30, 20221 then
RAUM +160% over the last fiscal year+40% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 12, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $568MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +160%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.1B, 2 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• I•••••••• F••• I• L• | Real Estate Fund | $411M | 18 | May 17, 2021 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• M•••••• · Chief Compliance Officer & Chief Financial Officercontrolsince 08/2021 · owns less than 5%
- K••••• K•••••• W••••• · Limited Partner Of S••••••• I•••••••• L•controlsince 09/2019 · owns less than 5%
- K••••• K•••••• W••••• · Sole Membercontrolsince 09/2019 · owns 75% or more of S••••••• I•••••••• G•• L••
Entity owners
- S••••••• I•••••••• G•• L•• · General Partner Of S••••••• I•••••••• L•direct · owns 75% or more
Related persons
Schedule D 7.A
- S••••••• I•••••••• A••••••••• I• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $437,351,000 to $1,136,893,000 (+160.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +11.0% (1368 comparable advisers, 97.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 1 to 2Mar 31, 2025 to Mar 30, 2026
- Advisory employees · 5 to 7Mar 31, 2025 to Mar 30, 2026
- Pooled vehicle clients · 1 to 2Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $437M to $1.1BMar 31, 2025 to Mar 30, 2026
- Employees · 12 to 15Mar 31, 2025 to Mar 30, 2026
- Private funds · 1 to 2Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $437M to $1.1BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $437M to $1.1BMar 31, 2025 to Mar 30, 2026
- RAUM · $437M to $1.1BMar 31, 2025 to Mar 30, 2026
- Advisory employees · 6 to 5Mar 27, 2024 to Mar 31, 2025
- Assets in custody · $411M to $437MMar 27, 2024 to Mar 31, 2025
- Employees · 11 to 12Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Other offices · 0 to 1Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $411M to $437MMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $411M to $437MMar 27, 2024 to Mar 31, 2025
- RAUM · $411M to $437MMar 27, 2024 to Mar 31, 2025
- HQ city · unset to NEW YORKMar 30, 2022 to Mar 31, 2023
- HQ state · unset to NYMar 30, 2022 to Mar 31, 2023
- Advisory employees · 3 to 6Sep 23, 2021 to Mar 30, 2022
- Assets in custody · $149M to $411MSep 23, 2021 to Mar 30, 2022
- Employees · 5 to 11Sep 23, 2021 to Mar 30, 2022
- Discretionary RAUM · $149M to $411MSep 23, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $149M to $411MSep 23, 2021 to Mar 30, 2022
- RAUM · $149M to $411MSep 23, 2021 to Mar 30, 2022
- Assets in custody · $134M to $149MMay 17, 2021 to Sep 15, 2021
- Discretionary RAUM · $134M to $149MMay 17, 2021 to Sep 15, 2021
- Pooled vehicle RAUM · $134M to $149MMay 17, 2021 to Sep 15, 2021
- RAUM · $134M to $149MMay 17, 2021 to Sep 15, 2021
- Accounts · unset to 1.0Mar 17, 2021 to May 17, 2021
- Advisory employees · 2 to 3Mar 17, 2021 to May 17, 2021
- Pooled vehicle clients · 0 to 1Mar 17, 2021 to May 17, 2021
- Assets in custody · unset to 134250000.0Mar 17, 2021 to May 17, 2021
- Custody of client assets · false to trueMar 17, 2021 to May 17, 2021
- Employees · 2 to 5Mar 17, 2021 to May 17, 2021
- Private funds · unset to 1Mar 17, 2021 to May 17, 2021
- Discretionary RAUM · unset to 134250000.0Mar 17, 2021 to May 17, 2021
- Non-discretionary RAUM · unset to 0.0Mar 17, 2021 to May 17, 2021
- Pooled vehicle RAUM · $0 to $134MMar 17, 2021 to May 17, 2021
- RAUM · unset to 134250000.0Mar 17, 2021 to May 17, 2021
Signals
4 dated events
- S••••••• I•••••••• L• reported RAUM $1.1B, up 160% from $437.4M (2025-03-31 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- S••••••• I•••••••• L• reported RAUM $410.8M, up 175% from $149.2M (2021-09-23 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Michael Fronte (Chief Compliance Officer & Chief Financial Officer) appeared on Schedule A of S••••••• I•••••••• L•Sep 15, 2021 · Control person joined · fact
- S••••••• I•••••••• L• filed its initial SEC registration (Form ADV)Dec 21, 2020 · 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
- Firm profile
- linkedin.com/company/sterling-investors-lpreportedpublic record, Form ADV, Sep 18, 2026
- Website
- sterling-investors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-430-1812reportedpublic record, Form ADV, May 12, 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
- Asset manager (funds and pooled vehicles)deriveda 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
Across the graphs
S••••••• I•••••••• L• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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