Hedge Fund Database

STERLING MANOR FINANCIAL, LLC

Adviser information for STERLING MANOR FINANCIAL, LLC last updated from Form ADV on February 23rd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location New York, United States

Employees

Total Number of Employees 3
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 3
Registered State Investment Advisers 3
Licensed Agents of an Insurance Company 3
No. of Firms/People that Solicit Clients 2

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 873 $158.6M
Non-Discretionary 20 $1.5M
Total 893 $160.1M

Clients

Type Number RAUM
Individuals 394 $96.2M
HNW Individuals 31 $63.2M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations <5 $729,000
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 4
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1-10

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businesses
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Insurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 160.5M
Portfolio Manager to Program Sponsor
STERLING MANOR FINANCIAL, LLC WRAP FEE PROGRAM STERLING MANOR FINANCIAL, LLC

Identifiers

SEC RIA File Number 801-107975
SEC ERA File Number 801-107975
SEC CIK Numbers 1842015
SEC CRD Numbers 284218
Legal Entity Identifier None

Principal Office

18 DIVISION STREET
SUITE 202
SARATOGA SPRINGS
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 518-583-4040, Fax: (518) 583-4624

Websites

sterlingmanorfinancial.com www.facebook.com/sterling-manor-financial-485763278126855/ twitter.com/sterlingmanor

Chief Compliance Officer

STEPHEN MATTHEW KYNE
MANAGING MEMBER & CHIEF COMPLIANCE OFFICER
18 DIVISION STREET
SUITE 202
SARATOGA SPRINGS
NY
United States
Tel: (518) 583-4040
Fax: (518) 583-4624
(Full email address available in API data)

Regulatory Contact

ADAM DOIG
MANAGING MEMBER
18 DIVISION STREET
SUITE 202
SARATOGA SPRINGS
NY
United States
Tel: (518) 583-4040
Fax: (518) 583-4624
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
KYNE, STEPHEN, MATTHEW Individual – MANAGING MEMBER & CHIEF COMPLIANCE OFFICER 04/2006 50-75%
DOIG, ADAM, FLETCHER Individual – MANAGING MEMBER 04/2006 50-75%

No. Employees, Historic

105020192020202120222023202420254 on 4/12/20194 on 10/10/20194 on 2/5/20204 on 5/19/20204 on 7/20/20204 on 2/25/20214 on 3/13/20214 on 3/11/20224 on 2/23/20234 on 3/21/20233 on 6/5/20233 on 9/8/20233 on 1/2/20243 on 1/22/20243 on 2/23/2024

RAUM, Historic

200M100M0201920202021202220232024202570583112 on 4/12/201970583112 on 10/10/2019104142606 on 2/5/2020104142606 on 5/19/2020104142606 on 7/20/2020141607000 on 2/25/2021141607000 on 3/13/2021163800000 on 3/11/2022151538000 on 2/23/2023151538000 on 3/21/2023151538000 on 6/5/2023151538000 on 9/8/2023151538000 on 1/2/2024151538000 on 1/22/2024160086000 on 2/23/2024

No. Clients, Historic

60030002019202020212022202320242025338 on 4/12/2019338 on 10/10/2019382 on 2/5/2020382 on 5/19/2020382 on 7/20/2020424 on 2/25/2021424 on 3/13/2021446 on 3/11/2022573 on 2/23/2023573 on 3/21/2023573 on 6/5/2023573 on 9/8/2023573 on 1/2/2024573 on 1/22/2024426 on 2/23/2024

Holdings

From latest 13F, filed July 26th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AMAZON COM INC COM 673K 3K –
APPLE INC COM 3M 13K –
BLACKROCK ETF TRUST US CARBON TRANS 270K 5K –
COCA COLA CO COM 205K 3K –
FIDELITY COVINGTON TRUST SML MID MLTFCT 7M 188K –
FIRST TR EXCHANGE-TRADED FD NASDAQ BUYWRITE 251K 12K –
FIRST TR EXCHANGE-TRADED FD BUYWRIT INCM ETF 426K 19K –
FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 9M 153K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 7M 181K –
GE AEROSPACE COM NEW 328K 2K –
GLOBAL X FDS DEFENSE TECH ETF 4M 128K –
ISHARES TR ISHARES SEMICDTR 7M 27K –
ISHARES TR 1 3 YR TREAS BD 5M 62K –
ISHARES TR CORE DIV GRWTH 21M 356K –
ISHARES TR RUS MD CP GR ETF 19M 168K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 431K 8K –
JPMORGAN CHASE & CO. COM 266K 1K –
MICROSOFT CORP COM 867K 2K –
ONEOK INC NEW COM 665K 8K –
SPDR S&P 500 ETF TR TR UNIT 1M 2K –
SPDR SER TR PRTFLO S&P500 GW 15M 191K –
SPDR SER TR BLOOMBERG SHT TE 6M 245K –
VANGUARD WELLINGTON FD US VALUE FACTR 13M 115K –
WISDOMTREE TR EUROPE HEDGED EQ 10M 225K –