THE STERLING GROUP

Advisory Business

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

Employees

Total Number of Employees	7
Investment Advisory/Research	4
Registered Broker-Dealer Representatives	3
Registered State Investment Advisers	3
Licensed Agents of an Insurance Company	2
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	759	$342.7M
Non-Discretionary	0	$0
Total	759	$342.7M

Clients

Type	Number	RAUM
Individuals	119	$40.8M
HNW Individuals	143	$294.3M
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	$7.0M
Charitable organizations	<5	$729,820
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	0
No. of Financial Planning Clients	101-250

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation	% of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	0
Both for Same	342.7M

Portfolio Manager to Program	Sponsor
THE STERLING GROUP	THE STERLING GROUP

Identifiers

SEC RIA File Number	801-77006
SEC ERA File Number	801-77006
SEC CIK Numbers	1852307
SEC CRD Numbers	111782
Legal Entity Identifier	None

Principal Office

225 S. LAKE AVENUE
SUITE 1075
PASADENA
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic