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STERLING INVESTMENT MANAGEMENT, LLC
CRD 112923File 801-50373
APPROVED
Retail clients
Custody
Filing as of Mar 18, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$409.2M
Below cohort median (national)
Discretionary AUM
$409.2M
Clients
151
399 accounts
Employees
8
Above cohort median in AZ
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Oct 16, 1995
- Principal office
- 6262 NORTH SWAN RD., SUITE 210, TUCSON, AZ, 85718
- Phone
- 520-293-3311
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $409.2M
- Discretionary AUM
- $409.2M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 399
- Non-discretionary accounts
- 0
- Total accounts
- 399
- AUM per client
- $2.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $24.2M |
| Charitable organizations | 7 | $26.2M |
| High net worth individuals | 74 | $321.8M |
| State or municipal government entities | Fewer than 5 | $4.5M |
| Individuals (other than high net worth individuals) | 65 | $32.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Publications
- Financial planning services
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 148 | 151 | increased by3 |
| Apr 1, 2026 | AUM | $360,529,500 | $409,201,752 | increased by$48,672,252 |
| Apr 1, 2026 | Accounts | 153 | 399 | increased by246 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 7 | 8 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 149 | 148 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $337,723,197 | $360,529,500 | increased by$22,806,303 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 436 | 153 | decreased by283 |
| Apr 1, 2022 | Clients | 152 | 149 | decreased by3 |
| Apr 1, 2022 | AUM | $354,004,670 | $337,723,197 | decreased by$16,281,473 |
| Apr 1, 2022 | Accounts | 404 | 436 | increased by32 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “STERLING INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“STERLING INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.