Sterling Advisory Services, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$6,197,109
Clients
2
100% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
2
Very LowAverage account size
$3,098,555
About
Sterling Advisory Services, LLC provides investment advisory and portfolio management services to individual clients and reports managing about $6.2 million in client assets. The firm serves a very small client base (two clients) and uses the common percentage-of-AUM fee arrangements used by many independent advisors.
The advisor has operated the firm since 2013 and delivers individualized portfolio management and client service as the sole registered representative. The principal’s concurrent role as Operational Manager of the tax department at an affiliated accounting firm is described in the brochure and allows for coordination between investment recommendations and tax or accounting considerations.
What distinguishes the firm from most peers is its affiliation with an accounting practice (Koehler & Associates), a configuration reported by only a small minority of independent RIAs, and the principal’s membership in a separate real estate entity (Sterling K. Properties, LLC). The brochure also discloses no disciplinary history.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
Active portfolio management
Options & derivatives strategies
Main office location
Sterling Advisory Services, LLC
1541 The Alameda, Suite B
San Jose CA 95126-2311, United States
Number of offices
1
Most active in
Sterling Advisory Services, LLC has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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