Sterling Financial Advisors, Llc
- Regulatory AUM
- $145M
- Discretionary
- $119M
- Clients
- 143
- Avg AUM / client
- $1.0M
- Accounts
- 321
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 28, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 92 | $28.7M | 19.9% |
| High net worth individuals | 51 | $97.4M | 67.4% |
| Pension and profit sharing plans | Fewer than 5 clients | $11.2M | 7.71% |
| Charitable organizations | Fewer than 5 clients | $1.3M | 0.91% |
| Corporations and other businesses | Fewer than 5 clients | $6.0M | 4.12% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Mary H Jochim | President | Mar 1998 (28y) | 75% or more | |
| Joseph Bayless | Chief Compliance Officer | Jan 2022 (5y) | Less than 5% | |
| John Russell Dee | Registered representative | Apr 2013 (13y) | ||
| Michael John Butkus | Registered representative | Jan 2026 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/28/2026 | 942 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Raymond James $127M (88% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 28, 2026.
View current Form ADV (SEC/IAPD) ↗