SourcingSourcing

STERLING CAPITAL MANAGEMENT INC

B59
CRD 106822·SEC 801-54107·BROOKFIELD, WI
AUM
$296.9M
$100M-$500M
Est. Revenue
$3.0M
@ 1% on AUM
Est. EBITDA
$891K
@ 30% margin
Est. Deal Value
$7.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
STERLING CAPITAL MANAGEMENT INC
CRD
106822
SEC file #
801-54107
EIN
453538808
DBA names
—

Economics

AUM
$296.9M
AUM band
$100M-$500M
AUM trajectory
'20'26
$186.3M → $296.9M▲ +59%
Client mix
Individuals Other210
Individuals High Net Worth123
Other41
Corporations7
Charitable Organizations5

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
2 advisors → 3 advisors▲ +50%
Primary office
BROOKFIELD WI
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed feesPerformance-based fees

Filings

Latest ADV filing
03/24/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
PORTZ, THOMAS, JOHN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
PORTZ, THOMAS, JOHN
PORTZ, TIMOTHY, JOHN
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
16
Form 5500 Total Participants
906
Form 5500 Total Compensation
630,980
Form 5500 Compensation Trajectory 3y
2025630,980
20240
Form 5500 Plan Count Trajectory 3y
202511
20245
Schedule C Total Compensation
630,980
Schedule C Service Provider Rows
16

SEC EDGAR

Edgar Cik
0001539939
Edgar Registered
Yes
Edgar Filing Count
7
Edgar First Filing Date
2012-01-19
Edgar Last Filing Date
2018-10-18
Edgar Form D Count
7
Edgar Form D Offerings
2018-10-182018-10-18 · 0001539939-18-000001
2017-10-232017-10-23 · 0001539939-17-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
1
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
1801 JENNIFER LANEWAUKESHA, WI 53186
Business
1801 JENNIFER LANEWAUKESHA, WI 53186
Edgar EIN
453538808
Edgar Recent Filings
D/A2018-10-18 · 0001539939-18-000001
D/A2017-10-23 · 0001539939-17-000001
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
1218627
Trust Company Affiliate
No

People (3)

3
PORTZ, THOMAS, JOHN
IAR · Direct Owner · 87.5%
1218627
TIMOTHY JOHN PORTZ
Executive Officer · 2.5%
5260311
Elliott Gengembre
IAR
7793034