Sterling Investment Management, LLC

RIASEC RegisteredEst. 1995
Total AUM
$409M
Discretionary
$409M
100% of AUM
Avg account
$1M
Accounts
399
Employees
8
Advisory reps
4

Firm details

Headquarters
Tucson, Arizona
CRD number
112923
Registered since
October 16, 1995
Website
sterlinginvestmentmanagement.com
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges
Client types
  • HNWI78.65%
  • Individuals7.95%
  • Charitable Organizations6.4%
  • Corporations / Businesses5.91%
  • State / Municipal Government1.1%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPublication of Periodicals

Firm profile

FINTRX

Overview

Sterling Investment Management, LLC is an independent, SEC-registered RIA that has operated since the mid-1990s. The firm serves both individual/family clients and institutional accounts, combining discretionary portfolio management with financial planning and periodic publications aimed at clients or subscribers. Its billing mixes an asset-based fee model with hourly charges for certain advisory work. Sterling does not identify as an ESG-focused manager and does not act as a capital allocator running its own private funds.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 47%, Investment Grade Corp Bonds 16%, US Government Bonds 15%, Public Funds/Mutual Funds 13%, Non-Investment Grade Corp Bonds 5%, Cash & Cash Equivalents 4%47%
  • Exchange Traded Equities47%
  • Investment Grade Corp Bonds16%
  • US Government Bonds15%
  • Public Funds/Mutual Funds13%
  • Non-Investment Grade Corp Bonds5%

Owners & executives

1 of 1
  • John Payne

    John Payne

    Managing Partner and Chief Investment OfficerCRD 2694662

Contacts

3 of 3
  • Arumayta Arguello

    Arumayta Arguello

    Partner and Portfolio ManagerCRD 6399035

  • Crystal Kelly

    Crystal Kelly

    Partner and DirectorCRD 6558344

  • Ross Patterson

    Ross Patterson

    Wealth ManagerCRD 6231877

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 43

Active vs passive

$99.1M in ETFs

Passive

89%

$87.9M

Active

9%

$11.2M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD MORTGAGE-BACKED SECURITIES INDEX FUND (VMBS)VanguardPassiveIntermediate Government$15M319,91615.11%
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Location

Primary office

Tucson, AZ

Pima

Location

Tucson, AZ

Headquartered in Tucson, AZ, anchoring the Tucson-Nogales, AZ metro in the West.

Metro area
Tucson-Nogales, AZ
Region
West
County
Pima
Address
6262 N Swan Rd
Time zone
MT (UTC-7)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth