SourcingSourcing

STERLING INVESTMENT MANAGEMENT, LLC

B54
CRD 112923·SEC 801-50373·TUCSON, AZ
AUM
$409.2M
$100M-$500M
Est. Revenue
$4.1M
@ 1% on AUM
Est. EBITDA
$1.2M
@ 30% margin
Est. Deal Value
$9.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
STERLING INVESTMENT MANAGEMENT, LLC
CRD
112923
SEC file #
801-50373
EIN
860802628
DBA names
—

Economics

AUM
$409.2M
AUM band
$100M-$500M
AUM trajectory
'20'26
$288.5M → $409.2M▲ +42%
Client mix
Individuals High Net Worth74
Individuals Other65
Charitable Organizations7
Corporations4
State Or Municipal Govt1

Operations

Employees (total)
8
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
5 advisors → 4 advisors▼ -20%
Primary office
TUCSON AZ
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPublication of periodicals
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
03/18/2026
ADV-W filed at
—
Website
linkedin.com/company/sterling-investment-management(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
PAYNE, JOHN, HARMAN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
PAYNE, JOHN, HARMAN
Arguello, ARUMAYTA, Martinez
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

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:sterling.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
Yes
Form 5500 Plan Count
4
Form 5500 Total Participants
14
Form 5500 Total Compensation
1,070,938
Form 5500 Compensation Trajectory 3y
20251,070,938
20240
Form 5500 Plan Count Trajectory 3y
20253
20241
Schedule C Total Compensation
1,070,938
Schedule C Service Provider Rows
4

SEC EDGAR

Edgar Cik
0001509873
Edgar Registered
Yes
Edgar Filing Count
70
Edgar First Filing Date
2011-01-25
Edgar Last Filing Date
2026-05-04
Edgar 13f Count
68
Edgar 13f Latest AUM Estimate
Filing Date2026-05-04
Accession0001509873-26-000003
Edgar Former Names
Sterling Investment Management, Inc.

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
0
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
6262 N. SWAN ROAD, SUITE 210TUCSON, AZ 85718
Business
6262 N. SWAN ROAD, SUITE 210TUCSON, AZ 85718
Edgar EIN
860802628
Edgar Recent Filings
13F-HR2026-05-04 · 0001509873-26-000003
13F-HR2026-02-03 · 0001509873-26-000002
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
2694662
Trust Company Affiliate
No

People (4)

4
PAYNE, JOHN, HARMAN
IAR · Direct Owner · 87.5%
2694662
Arguello, ARUMAYTA, Martinez
IAR · Direct Owner · 7.5%
6399035
KELLY, CRYSTAL, PORTILLO
Direct Owner · 7.5%
6558344
ROSS ALEXANDER PATTERSON
IAR
6231877