{"url":"https://nivawealth.com/firms/sterling-capital-management-106822","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/106822","regulatoryAum":296946819,"crd":"106822","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7793034","suffix":null,"lastName":"Gengembre","firstName":"Elliott","middleName":null},{"crd":"1218627","suffix":null,"lastName":"PORTZ","firstName":"THOMAS","middleName":"JOHN"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-30","regulatoryAum":260991548,"clients":365,"employees":3,"offices":1},{"filedOn":"2022-06-09","regulatoryAum":270252913,"clients":346,"employees":3,"offices":1},{"filedOn":"2023-03-30","regulatoryAum":175663809,"clients":348,"employees":3,"offices":1},{"filedOn":"2024-03-29","regulatoryAum":213911816,"clients":388,"employees":3,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":255218348,"clients":362,"employees":3,"offices":1},{"filedOn":"2026-03-24","regulatoryAum":296946819,"clients":388,"employees":3,"offices":1}],"secFileNumber":"801-54107","legalName":"Sterling Capital Management Inc","displayName":"Sterling Capital Management","slug":"sterling-capital-management-106822","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Wisconsin corporation","fiscalYearEnd":"December","headquarters":{"street":"17160 W. North Ave, Suite 200","city":"Brookfield","state":"WI","stateName":"Wisconsin","country":"United States","postalCode":"53005"},"tradeNames":["Sterling Capital Management Inc"],"registration":{"secApproved":"24 March 1997","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":682462.6756756756,"staff":{"employees":3,"advisory":3,"brokerDealerReps":2,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":296946819,"discretionary":227360071,"discretionaryAccounts":333,"nonDiscretionary":69586748,"nonDiscretionaryAccounts":55,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":338},"clientTypes":[{"label":"Individuals (other than HNW)","clients":210,"regulatoryAum":45556871},{"label":"High-net-worth individuals","clients":123,"regulatoryAum":181703200},{"label":"Pension and profit-sharing plans","clients":2,"fewerThan5":true,"regulatoryAum":2091817},{"label":"Charitable organizations","clients":5,"regulatoryAum":60087714},{"label":"Corporations and other businesses","clients":7,"regulatoryAum":3626615},{"label":"Other","clients":41,"regulatoryAum":3880602}],"feePrograms":[{"role":"main","program":"Separately managed accounts","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024964","versionId":1024964,"ratePeriod":"annual","fee_billing":null,"submittedOn":"2026-03-24","documentName":"STERLING CAPITAL ADV-PART 2A BROCHURE","fee_rate_low":2,"fee_rate_high":2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning","summary":"Financial planning services carry a fixed fee, typically $350 an hour; the adviser may also charge a flat fee for service.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024964","versionId":1024964,"submittedOn":"2026-03-24","documentName":"STERLING CAPITAL ADV-PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T08:13:07.81038+00:00","documents":[{"name":"STERLING CAPITAL ADV-PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024964","versionId":1024964,"submittedOn":"2026-03-24"}]},"custodians":[{"name":"RBC Capital Markets, LLC","shortName":"RBC Capital Markets","location":"Minneapolis, MN","smaAssets":236365513}],"custodyNote":"Sterling Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Timothy Portz","title":"President","crd":"5260311"},{"name":"Thomas Portz","title":"CEO/Chief Compliance Officer","crd":"1218627"}],"ownership":[{"label":"Thomas Portz","detail":"Ceo/chief compliance officer in the 75% or more ownership band and a control person, since October 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Wisconsin","offices":1,"addresses":[{"street":"17160 W. North Ave, Suite 200","city":"Brookfield","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"262-970-9700","stateRegisteredReps":0,"otherAdviserReps":3,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":62},{"label":"U.S. government/agency bonds","percent":1},{"label":"Investment grade corporate bonds","percent":30},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Derivatives","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":1},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"24 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/106822/PDF/106822.pdf","brochureDate":"24 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024964","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Sterling Capital Management have?","answer":"Sterling Capital Management has 388 clients and manages $297 million for them, as of March 2026. They include 210 individual clients, 123 high-net-worth individuals and 41 other clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sterling Capital Management offer?","answer":"Sterling Capital Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Sterling Capital Management charge?","answer":"Sterling Capital Management charges 2.00% a year for its Separately managed accounts. The fee is negotiable.","source":"STERLING CAPITAL ADV-PART 2A BROCHURE, filed 24 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Sterling Capital Management use?","answer":"Sterling Capital Management’s separately managed account assets are held at RBC Capital Markets, LLC (Minneapolis, MN), with $236M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Sterling Capital Management have?","answer":"Sterling Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Sterling Capital Management invest in?","answer":"At the end of its last fiscal year, Sterling Capital Management’s separately managed accounts held 62% exchange-traded equities, 30% investment grade corporate bonds, 4% cash and equivalents, 1% U.S. government and agency bonds, 1% high-yield corporate bonds, 1% derivatives and 1% registered funds (mutual funds, ETFs, BDCs).","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Sterling Capital Management?","answer":"Sterling Capital Management’s direct owner is Thomas Portz (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sterling Capital Management get paid?","answer":"Sterling Capital Management is paid through a percentage of assets under management, hourly charges, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Sterling Capital Management?","answer":"Sterling Capital Management’s main office is at 17160 W. North Ave, Suite 200, Brookfield, WI 53005. Its phone number is 262-970-9700.","source":"Form ADV Part 1A, Item 1.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}