DFX Intelligence
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SEC-registered adviser
S••••••• F•••••••• G••••
Legal name L•••• C•••••• G••••• L••
Latest filing Apr 27, 2026
First filing on the tape Feb 26, 2024 · 10 filings
SEC status approved since Jul 19, 2024
RAUM
$180M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$171M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$89.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$180M as of Apr 27, 2026
Feb 24, 2025$152M then
HNW client RAUM$130M as of Apr 27, 2026
Feb 24, 2025$105M then
State-registered IARs (5.B.3)2 as of Apr 27, 2026
Feb 24, 20251 then
Employees (5.A)2 as of Apr 27, 2026
Feb 24, 20253 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 1 to 2offices 0 to 1
Practice profile
derived from the filing of Apr 27, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $89.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 144derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $378,230derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $180MreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$130M72%
- Individuals$41.1M23%
- Pension and profit-sharing plans$6.6M3.7%
- Corporations and businesses$2.2M1.2%
- Charitable organizations$31,9150.0%
- Individual clients
- 190reported
- HNW clients
- 98reported
- Pension plan clients
- 9reported
- Charitable clients
- 1reported
- Accounts
- 475reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• S•••• D••••• | San Diego, Ca | Jul 23, 2020 | 29 y | 1 |
| I•• M• W••••Certified Financial Planner, Chartered Financial Consultant | Hemet, Ca | Sep 3, 2025 | 20 y | 3 |
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
none on the tape
Joined, latest
- I•• M• W•••• from L•• F•••••••• L••Sep 3, 2025 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• T•••••• S•••• · Managing Member / Chief Compliance Officercontrolsince 02/2020 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 432 to 475Oct 21, 2025 to Feb 5, 2026
- Advisory employees · 1 to 2Oct 21, 2025 to Feb 5, 2026
- BD registered reps · 3 to 2Oct 21, 2025 to Feb 5, 2026
- HNW clients · 86 to 98Oct 21, 2025 to Feb 5, 2026
- Individual clients · 183 to 190Oct 21, 2025 to Feb 5, 2026
- Employees · 3 to 2Oct 21, 2025 to Feb 5, 2026
- Financial planning clients · 1-10 to 251-500Oct 21, 2025 to Feb 5, 2026
- State-registered IARs · 1 to 2Oct 21, 2025 to Feb 5, 2026
- Discretionary RAUM · $152M to $180MOct 21, 2025 to Feb 5, 2026
- HNW RAUM · $105M to $130MOct 21, 2025 to Feb 5, 2026
- Individual RAUM · $39.5M to $41.1MOct 21, 2025 to Feb 5, 2026
- Pension RAUM · $5.3M to $6.6MOct 21, 2025 to Feb 5, 2026
- RAUM · $152M to $180MOct 21, 2025 to Feb 5, 2026
- Other offices · 0 to 1Aug 13, 2025 to Oct 21, 2025
- Accounts · 395 to 432Nov 6, 2024 to Feb 24, 2025
- Advisory employees · 3 to 1Nov 6, 2024 to Feb 24, 2025
- Charity clients · unset to 1.0Nov 6, 2024 to Feb 24, 2025
- Corporate clients · unset to 6.0Nov 6, 2024 to Feb 24, 2025
- HNW clients · 60 to 86Nov 6, 2024 to Feb 24, 2025
- Individual clients · 172 to 183Nov 6, 2024 to Feb 24, 2025
- Pension plan clients · unset to 9.0Nov 6, 2024 to Feb 24, 2025
- Pooled vehicle clients · unset to 0.0Nov 6, 2024 to Feb 24, 2025
- Financial planning clients · 0 to 1-10Nov 6, 2024 to Feb 24, 2025
- Discretionary RAUM · $141M to $152MNov 6, 2024 to Feb 24, 2025
- HNW RAUM · $95.0M to $105MNov 6, 2024 to Feb 24, 2025
- Individual RAUM · $45.7M to $39.5MNov 6, 2024 to Feb 24, 2025
- Pension RAUM · unset to 5310235.0Nov 6, 2024 to Feb 24, 2025
- Pooled vehicle RAUM · unset to 0.0Nov 6, 2024 to Feb 24, 2025
- RAUM · $141M to $152MNov 6, 2024 to Feb 24, 2025
- Insurance-licensed employees · 2 to 1Jul 16, 2024 to Nov 6, 2024
- State-registered IARs · 3 to 1Jul 16, 2024 to Nov 6, 2024
- Accounts · unset to 395.0Mar 4, 2024 to Jul 16, 2024
- Advisory employees · 1 to 3Mar 4, 2024 to Jul 16, 2024
- HNW clients · unset to 60.0Mar 4, 2024 to Jul 16, 2024
- Individual clients · unset to 172.0Mar 4, 2024 to Jul 16, 2024
- Employees · 5 to 3Mar 4, 2024 to Jul 16, 2024
- Insurance-licensed employees · 0 to 2Mar 4, 2024 to Jul 16, 2024
- State-registered IARs · 1 to 3Mar 4, 2024 to Jul 16, 2024
- Discretionary RAUM · unset to 140682280.0Mar 4, 2024 to Jul 16, 2024
- HNW RAUM · unset to 94979801.0Mar 4, 2024 to Jul 16, 2024
Signals
1 dated events
- S••••••• F•••••••• G•••• filed its initial SEC registration (Form ADV)Feb 26, 2024 · 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
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 619-435-1210reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/stirling-financial-groupreportedpublic record, Form ADV, Apr 27, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Apr 27, 2026
- Principal office phone
- 619-435-1210reportedpublic record, Form ADV, Apr 27, 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
- $89.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026