THE STERLING GROUP, L.P.
Adviser information for THE STERLING GROUP, L.P. 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 65 |
|---|---|
| Investment Advisory/Research | 46 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 13 | $5.9B |
| Non-Discretionary | 0 | $0 |
| Total | 13 | $5.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 13 | $5.9B |
| Pension and profit sharing plans | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 38 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesPORTION OF PORTFOLIO COMPANY TRANSACTION AND MONITORING FEES |
Identifiers
| SEC RIA File Number | 801-73530 |
|---|---|
| SEC ERA File Number | 801-73530 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 157406 |
| Legal Entity Identifier | None |
Principal Office
NINE GREENWAY PLAZASUITE 2400
HOUSTON
TX
United States
Monday - Friday, 8:30 A.M. - 5:30 P.M. CST
Tel: 713-877-8257, Fax: 713-877-1824
Chief Compliance Officer
MAX P. KLUPCHAK
GENERAL COUNSEL
NINE GREENWAY PLAZA
SUITE 2400
HOUSTON
TX
United States
Tel:
713-341-5740
Fax:
713-877-1824
M********@*****************M
(Full email address available in API data)
Regulatory Contact
CAMILLE BUFFALO
COMPLIANCE MANAGER
NINE GREENWAY PLAZA
SUITE 2400
HOUSTON
TX
United States
Tel:
713-341-5738
Fax:
713-877-1824
C*******@*****************M
(Full email address available in API data)
Industry Affiliates
| STERLING GROUP CREDIT GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| STERLING GROUP CREDIT II GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| STERLING GROUP FOUNDATION GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| STERLING GROUP PARTNERS IV GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| STERLING GROUP PARTNERS V GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| STERLING GROUP CREDIT FUND (PARALLEL), L.P. | Private Equity Fund | $33.9M | $5.0M | 2 |
| STERLING GROUP CREDIT FUND II (EXECUTIVE FUND), L.P. | Private Equity Fund | $9.7M | $5.0M | 23 |
| STERLING GROUP CREDIT FUND II (PARALLEL), L.P. | Private Equity Fund | $60.6M | $5.0M | 4 |
| STERLING GROUP CREDIT FUND II, L.P. | Private Equity Fund | $276.1M | $5.0M | 17 |
| STERLING GROUP CREDIT FUND, L.P. | Private Equity Fund | $240.2M | $5.0M | 8 |
| STERLING GROUP FOUNDATION FUND (EXECUTIVE FUND), L.P. | Private Equity Fund | $27.6M | $5.0M | 34 |
| STERLING GROUP FOUNDATION FUND (PARALLEL), L.P. | Private Equity Fund | $170.0M | $5.0M | 15 |
| STERLING GROUP FOUNDATION FUND, L.P. | Private Equity Fund | $423.4M | $5.0M | 30 |
| STERLING GROUP PARTNERS IV (PARALLEL), LP | Private Equity Fund | $979.8M | $5.0M | 39 |
| STERLING GROUP PARTNERS IV, LP | Private Equity Fund | $1,176.6M | $5.0M | 45 |
| STERLING GROUP PARTNERS V (EXECUTIVE FUND), L.P. | Private Equity Fund | $76.6M | $5.0M | 38 |
| STERLING GROUP PARTNERS V (PARALLEL), L.P. | Private Equity Fund | $1,095.9M | $5.0M | 71 |
| STERLING GROUP PARTNERS V, L.P. | Private Equity Fund | $1,360.7M | $5.0M | 66 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HAWKINS, JOHN, DAVID | Individual | – | PARTNER / LIMITED PARTNER | 07/1999 | 10-25% |
| ROSENTHAL, GARY, LEE | Individual | – | PARTNER / LIMITED PARTNER | 01/2005 | 10-25% |
| ELLIOTT, GREGORY, LYNN | Individual | – | PARTNER / LIMITED PARTNER | 05/2008 | 10-25% |
| WALLACE, REYMOND, KENNETH | Individual | – | PARTNER / LIMITED PARTNER | 03/2010 | 10-25% |
| THE STERLING GROUP GP, LLC | Domestic Entity | – | GENERAL PARTNER | 03/2010 | < 5% |
| HENRY, DAVID, BRIAN | Individual | – | PARTNER / LIMITED PARTNER | 01/2016 | 10-25% |
| KLUPCHAK, MAXIMILIAN, PAUL | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2017 | < 5% |
| STALLER, BRADLEY, A | Individual | – | PARTNER/LIMITED PARTNER | 07/2017 | 10-25% |
| BAUDIN, BRANDON, P | Individual | – | CHIEF FINANCIAL OFFICER | 09/2018 | < 5% |
| MACLAREN, SCOTT, M | Individual | – | PARTNER / LIMITED PARTNER | 03/2021 | 10-25% |