STERLING FINANCIAL ADVISORS, LLC
Adviser information for STERLING FINANCIAL ADVISORS, LLC last updated from Form ADV on March 28th, 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 | Nebraska, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| 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 | 321 | $114.2M |
| Non-Discretionary | 36 | $9.0M |
| Total | 357 | $123.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 120 | $30.3M |
| HNW Individuals | 49 | $78.5M |
| 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 | $6.7M |
| Charitable organizations | <5 | $2.6M |
| 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 | $5.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPension consulting servicesSecurity ratings or pricing services |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 123.2M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| OMAHA WEALTH MANAGEMENT WRAP FEE PROGRAM | STERLING FINANCIAL ADVISORS, LLC |
Identifiers
| SEC RIA File Number | 801-126400 |
|---|---|
| SEC ERA File Number | 801-126400 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107783 |
| Legal Entity Identifier | None |
Principal Office
1012 DOUGLASSUITE 504
OMAHA
NE
United States
Monday - Friday, 8:00A.M. - 4:00 P.M.
Tel: 402-970-9300, Fax: 402-970-9397
Websites
Chief Compliance Officer
JOSEPH BAYLESS
FINANCIAL ADVISOR
1012 DOUGLAS
SUITE 504
OMAHA
NE
United States
Tel:
402-740-7757
Fax:
402-970-9397
J*******@**************M
(Full email address available in API data)
Regulatory Contact
MARY JOCHIM
PRESIDENT
1012 DOUGLAS
SUITE 504
OMAHA
NE
United States
Tel:
402-970-9300
M***@*********M
(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 |
|---|---|---|---|---|---|
| JOCHIM, MARY, H | Individual | – | PRESIDENT | 03/1998 | > 75% |
| BAYLESS, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2022 | < 5% |