STERLING FINANCIAL GROUP, INC.

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	California, United States

Employees

Total Number of Employees	6
Investment Advisory/Research	4
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	4
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	518	$311.0M
Non-Discretionary	33	$10.9M
Total	551	$322.0M

Clients

Type	Number	RAUM
Individuals	129	$52.8M
HNW Individuals	58	$269.0M
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	<5	$14,243
Charitable organizations	0	$0
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	<5	$141,994
Other	0	$0

Type	Number
No. of Non-RAUM Clients	1
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 businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops
Compensation	% of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	22.1M
Portfolio Manager	299.8M
Both for Same	299.8M

Portfolio Manager to Program	Sponsor
STERLING FINANCIAL GROUP WRAP PROGRAM	STERLING FINANCIAL GROUP, INC.

Identifiers

SEC RIA File Number	801-114827
SEC ERA File Number	801-114827
SEC CIK Numbers	1991301
SEC CRD Numbers	300327
Legal Entity Identifier	None

Principal Office

201 S. LAKE AVENUE
SUITE 500
PASADENA
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic