Wealth manager, independent · Sparta, NJ
Sterling Financial Planning Inc
SEC-registered investment adviser · CRD 108664 · SEC 801-56025
At a glance
Sterling Financial Planning Inc is an SEC-registered investment adviser based in Sparta, New Jersey, with $761 million in regulatory assets under management as of its Form ADV filed September 8, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 562 individual clients. By Form ADV it is a wealth manager, ranked 1,993rd of 8,915 wealth managers and 6,268th of 17,210 SEC-registered advisers by assets.
Main office 973-729-1234sterlingadvice.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $761M
- Rank among wealth managers
- #1,993 of 8,915
- Rank among all SEC RIAs
- #6,268 of 17,210
- Rank in New Jersey
- #129 of 392
- Individual clients
- 562
- High-net-worth clients
- 212
- Accounts
- 1,639
- Discretionary
- 64% of AUM
- Employees
- 8
- Advisory staff
- 8
- Offices
- 1
Owners and executives on its Form ADV
- Nicholas A. NicolettePresident and Chief Compliance Officer
- Glen A. ThomasTreasurer
- Matthew J. HannumSecretary
- Ross D. WeinerShareholder
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 212 | $615M | 81% |
| Individuals | 350 | $127M | 17% |
| Charitable organizations | 8 | $14M | 2% |
| Corporations or other businesses | 6 | $2M | <1% |
| Pension and profit sharing plans | 2 | $2M | <1% |
Disciplinary disclosures
Sterling Financial Planning Inc reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗sterlingadvice.com ↗
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The full record on Sterling Financial Planning Inc
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 4,254 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Sterling Financial Planning Inc manage?
Sterling Financial Planning Inc reports $761 million in regulatory assets under management across 1,639 accounts, 64% of it on a discretionary basis, on its Form ADV filed September 8, 2026.
What kind of firm is Sterling Financial Planning Inc?
Sterling Financial Planning Inc is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Sterling Financial Planning Inc’s clients?
By assets, its largest client types are high-net-worth individuals ($615 million, 212 clients); individuals ($127 million, 350 clients); charitable organizations ($14 million, 8 clients).
Does Sterling Financial Planning Inc have any disciplinary history?
Sterling Financial Planning Inc reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Sterling Financial Planning Inc’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-08), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →