S

Sterling Capital Management Inc

Updated today

Client AUM

$227,260,071

Clients

333

Advisors

2

of 3 employees

About

Sterling Capital Management, Inc. provides discretionary and non‑discretionary investment advisory, financial planning, and consulting services to a mix of clients, including individual and high‑net‑worth investors, pension and profit‑sharing plans, trusts, corporations, and nonprofit organizations. The firm reports approximately $297 million in regulatory assets under management and generally maintains a $1,000,000 account minimum, which may be waived.

Investment decisions are informed by macroeconomic and global factors (political developments, inflation, interest rates, currencies) and implemented across a range of strategies from balanced income/growth portfolios to aggressive, higher‑turnover accounts; the firm may use ETFs, structured products, listed options (primarily covered calls and protective puts), and margin where appropriate. Trading is handled by a mix of block trades and an alphabetical rotation system intended to promote equitable execution, and accounts are reviewed at least quarterly with custodial statements provided directly by the custodian.

Distinctive features include dual business activities: certain supervised persons are registered representatives of a broker‑dealer and the firm discloses that personnel may receive commissions, 12b‑1 fees, trailing compensation and other brokerage‑related payments in addition to advisory fees, and a related affiliate sells mutual funds, annuities, and insurance products; these arrangements and the firm’s supervisory and written policies to mitigate conflicts are described in the brochure. The firm also discloses custody and prime brokerage arrangements for a fund it advises and ownership of other non‑advisory ventures, making its combination of advisory, brokerage, and insurance‑product activity more complex than many peers.

Client services

Financial planning Portfolio management Pension consulting Selection of other advisers

Expertise

Annuities Active portfolio management Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k)

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Fee options

Fixed

Flat fees may be charged for financial planning or consulting services at adviser's discretion

Percentage

Typically 2% per year, negotiable

Commissions

Commissions on stock trades, bond trades, mutual funds, annuities, insurance products, and other brokerage-related payments received by certain personnel acting as registered representatives.

Project-based

Typically $350 per hour for financial planning services

Other

Account minimum: $1,000,000

Main office

17160 W. North Ave, Suite 200

Brookfield WI 53005

Advisors at this office

2

Most active in

California · Colorado · Florida · New Hampshire · Texas · Wisconsin

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Quick links

Advisors at this firm

user avatar

Thomas P

CFP®, Series 63

Brookfield, WI

Sterling Capital Management Inc

Thomas Portz is a financial advisor at Sterling Capital Management Inc with 42 years of industry experience. He holds the CFP® and Series 63 designations. His prior experience includes roles at Moloney Securities Co., Inc. and Sterling Financial Inc. Outside of advisory work, he is the founder of Lumineux Corporation, through which he has been awarded six U.S. patents and is involved in producing and selling non-fungible tokens (NFTs). He is also a published author. Sterling Capital Management provides investment advisory, financial planning, and consulting services to individuals, corporations, pension plans, and nonprofit organizations. The firm emphasizes macroeconomic and geopolitical factors in its active management approach, offering a range of portfolio strategies tailored to client objectives.

Annuities Active portfolio management Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k)
user avatar

Elliott G

Series 65

Brookfield, WI

Sterling Capital Management Inc

Elliott Gengembre is a financial advisor at Sterling Capital Management Inc. with a Series 65 designation and three years of industry experience. His prior work includes roles at JusticePoint, Inc., the Medical College of Wisconsin, and UW Credit Union. Sterling Capital Management provides investment advisory, financial planning, and consulting services to individuals, corporations, pension plans, and nonprofit organizations. The firm emphasizes macroeconomic and geopolitical factors in constructing portfolios and employs active management strategies tailored to client objectives.

Annuities Active portfolio management Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k)
View complete list of advisors at this firm
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