Sterling Financial Group, Inc. — 13F Holdings & Portfolio
CIK 1991301 · latest 13F-HR filed 2025-11-17
Sterling Financial Group, Inc. manages $315.5M in 13F-reported U.S. long-equity assets across 73 reported positions as of its 2025-09-30 13F-HR filing. Its largest disclosed positions are SPHQ (12.87%), DIVO (10.82%), JGRO (10.10%). Quarter over quarter (versus its 2025-06-30 filing) the fund opened 7 new positions and exited 5; 41 existing positions rose in reported value and 16 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$315.5M
Long-equity book
Holdings
73
Distinct positions
Period
2025-09-30
Filed 2025-11-17
Q/Q Activity
+7 / −5 / ↑41 / ↓16
vs 2025-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q3 25SPHQ12.9% · +6%DIVO10.8% · +9%JGRO10.1% · -4%INTF9.2% · +30%IBHF8.0% · -10%BSCS6.4% · +34%BSCW6.3% · +60%IDVO6.2% · +20%AAPL4.1% · -4%GSY1.7% · -8%BSMT1.5% · +124%XSMO1.5% · +1515%CI1.4% · -0%SPY1.4% · 0%DFAU1.3% · -5%BSSX1.2% · +44%DFAI1.0% · 0%JMST0.9% · -15%NVDA0.9% · -2%SPYM0.7% · 0%MSFT0.7% · -3%BRK.B0.6% · -1%AMZN0.6% · -15%VOE0.6% · 0%IWV0.6% · 0%ETHE0.5% · +257%DVY0.5% · 0%IWN0.5% · 0%MSTR0.4% · +17%QQQ0.4% · 0%TSLA0.4% · -2%CVS0.4% · -0%GOOGL0.3% · -0%BSMW0.3% · -38%META0.3% · -5%BSMU0.2% · +28%BSMV0.2% · -32%BSMS0.2% · +65%BSMY0.2% · newCVX0.2% · +12%BSMR0.2% · +54%ESBA0.2% · -9%BSMQ0.2% · +44%AVGO0.2% · -5%GOOG0.2% · -1%INVESCO EXCH0.2% · +20%BSCX0.2% · -29%BSCY0.2% · newPANW0.2% · 0%JPM0.2% · -1%LMT0.1% · -0%UNP0.1% · -4%BSCU0.1% · +117%MAR0.1% · 0%V0.1% · -7%BSCV0.1% · +12%XOM0.1% · +1%BSCT0.1% · newBSCR0.1% · newBSCQ0.1% · new
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q2 25 → Q3 25Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
2 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 75.8%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Jul 15, 2026.
Assets Under Management
$69.23B
Discretionary
$69.15B
Employees
186
Accounts
3,508
Address
4350 CONGRESS STREET
SUITE 1000
CHARLOTTE, NC 28209
SUITE 1000
CHARLOTTE, NC 28209
Phone
(704) 927-4175
This firm reports 1 disclosure item on its registration.
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| BRIDGES, ROBERT, WILSON Control | SENIOR MANAGING DIRECTOR since Nov 2019 | Less than 5% | Individual |
| DURHAM, CHARLES, ARNOLD Control | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER since Jun 2018 | Less than 5% | Individual |
| GUARDIAN CAPITAL US ASSET MANAGEMENT LLC Control | MEMBER since Jul 2024 | 75% or more | Domestic Entity |
| HAENNI, SCOTT, ALAN Control | SENIOR MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER since Mar 2023 | Less than 5% | Individual |
| MONTGOMERY, MARK, MICHEL Control | SENIOR MANAGING DIRECTOR since Dec 2006 | Less than 5% | Individual |
| Toledano, Jason Control | CHIEF FINANCIAL OFFICER since Jul 2025 | Less than 5% | Individual |
| DESJARDINS FINANCIAL CORPORATION INC. Control Indirect owner via DESJARDINS GLOBAL ASSET MANAGEMENT INC. | SHAREHOLDER since Mar 2026 | 75% or more | Foreign Entity |
| DESJARDINS FINANCIAL HOLDINGS INC. Control Indirect owner via DESJARDINS FINANCIAL CORPORATION INC. | SHAREHOLDER since Mar 2026 | 75% or more | Foreign Entity |
| DESJARDINS GLOBAL ASSET MANAGEMENT INC. Control Indirect owner via GUARDIAN CAPITAL GROUP LIMITED | SHAREHOLDER since Mar 2026 | 75% or more | Foreign Entity |
| FEDERATION DES DESJARDINS DU QUEBEC Control Indirect owner via DESJARDINS FINANCIAL HOLDINGS INC. | SHAREHOLDER since Mar 2026 | 75% or more | Foreign Entity |
| GUARDIAN CAPITAL GROUP LIMITED Control Indirect owner via GUARDIAN INNOVATIONS INC. | DIRECT OWNER since Jun 2024 | 75% or more | Foreign Entity |
| GUARDIAN INNOVATIONS INC. Control Indirect owner via GUARDIAN CAPITAL US ASSET MANAGEMENT LLC | MEMBER since Jun 2024 | 75% or more | Foreign Entity |
Ownership & leadership changes · 23 filings with changes since Mar 26, 2012
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Mar 31, 2026 filing
- No longer listedCHRISTODOULOU, ANDREW, MICHAEL · SHAREHOLDER · 25–50% · indirect via MINIC INVESTMENTS LIMITED · control person · listed since Jun 2004
- No longer listedCHRISTODOULOU, NICHOLAS · SHAREHOLDER · 25–50% · indirect via MINIC INVESTMENTS LIMITED · control person · listed since Jun 2024
- No longer listedCHRISTODOULOU, STEPHANIE, DIANA · SHAREHOLDER · 25–50% · indirect via MINIC INVESTMENTS LIMITED · control person · listed since Jun 2024
- No longer listedCHRYSSAFOU-CHRISTODOULOU, DIMITRIS-STAVROS · SHAREHOLDER · 25–50% · indirect via MINIC INVESTMENTS LIMITED · control person · listed since Jun 2024
- No longer listedMCALISTER, ALEXANDER, WORTH · SENIOR MANAGING DIRECTOR, VICE CHAIR · Less than 5% · control person · listed since Mar 2023
- No longer listedMINIC INVESTMENTS LIMITED · SHAREHOLDER · 25–50% · indirect via GUARDIAN CAPITAL GROUP LIMITED · control person · listed since Jan 2004
- AddedDESJARDINS FINANCIAL CORPORATION INC. · SHAREHOLDER · 75% or more · indirect via DESJARDINS GLOBAL ASSET MANAGEMENT INC. · control person
- AddedDESJARDINS FINANCIAL HOLDINGS INC. · SHAREHOLDER · 75% or more · indirect via DESJARDINS FINANCIAL CORPORATION INC. · control person
- AddedDESJARDINS GLOBAL ASSET MANAGEMENT INC. · SHAREHOLDER · 75% or more · indirect via GUARDIAN CAPITAL GROUP LIMITED · control person
- AddedFEDERATION DES DESJARDINS DU QUEBEC · SHAREHOLDER · 75% or more · indirect via DESJARDINS FINANCIAL HOLDINGS INC. · control person
- ChangedDURHAM, CHARLES, ARNOLD · title EXECUTIVE DIRECTOR, CHIEF COMPLIANCE OFFICER → MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER
Aug 11, 2025 filing
- No longer listedGUARDIAN CAPITAL LLC · MEMBER · 75% or more · control person · listed since Jul 2024
- No longer listedGUARDIAN INNOVATIONS INC. · MEMBER · 75% or more · indirect via GUARDIAN CAPITAL LLC · control person · listed since Jun 2024
- AddedGUARDIAN CAPITAL US ASSET MANAGEMENT LLC · MEMBER · 75% or more · control person
- AddedGUARDIAN INNOVATIONS INC. · MEMBER · 75% or more · indirect via GUARDIAN CAPITAL US ASSET MANAGEMENT LLC · control person
- AddedToledano, Jason · CHIEF FINANCIAL OFFICER · Less than 5% · control person
Jun 23, 2025 filing
- No longer listedMcIntyre, Casey, Kellen · MANAGING DIRECTOR, CHIEF OPERATING OFFICER · Less than 5% · control person · listed since Mar 2023
Nov 25, 2024 filing
- No longer listedCIDEL TRUST COMPANY · TRUSTEE · General partner, trustee or manager · indirect via THE CHRISTODOULOU 2004 TRUST · control person · listed since Jan 2004
- No longer listedTHE CHRISTODOULOU 2004 TRUST · SHAREHOLDER · 75% or more · indirect via MINIC INVESTMENTS LIMITED · control person · listed since Jan 2004
- AddedCHRISTODOULOU, ANDREW, MICHAEL · SHAREHOLDER · 25–50% · indirect via MINIC INVESTMENTS LIMITED · control person
- AddedCHRISTODOULOU, NICHOLAS · SHAREHOLDER · 25–50% · indirect via MINIC INVESTMENTS LIMITED · control person
- AddedCHRISTODOULOU, STEPHANIE, DIANA · SHAREHOLDER · 25–50% · indirect via MINIC INVESTMENTS LIMITED · control person
- AddedCHRYSSAFOU-CHRISTODOULOU, DIMITRIS-STAVROS · SHAREHOLDER · 25–50% · indirect via MINIC INVESTMENTS LIMITED · control person
Jul 31, 2024 filing
- AddedCIDEL TRUST COMPANY · TRUSTEE · General partner, trustee or manager · indirect via THE CHRISTODOULOU 2004 TRUST · control person
- AddedGUARDIAN CAPITAL GROUP LIMITED · DIRECT OWNER · 75% or more · indirect via GUARDIAN INNOVATIONS INC. · control person
- AddedGUARDIAN INNOVATIONS INC. · MEMBER · 75% or more · indirect via GUARDIAN CAPITAL LLC · control person
- AddedMINIC INVESTMENTS LIMITED · SHAREHOLDER · 25–50% · indirect via GUARDIAN CAPITAL GROUP LIMITED · control person
- AddedTHE CHRISTODOULOU 2004 TRUST · SHAREHOLDER · 75% or more · indirect via MINIC INVESTMENTS LIMITED · control person
Jul 11, 2024 filing
- No longer listedBRIDGES, ROBERT, WILSON · SENIOR MANAGING DIRECTOR · 25–50% · indirect via SCM INVESTORS LLC · control person · listed since Dec 2019
- No longer listedDowhower, Brian, Sean · BOARD MEMBER · Less than 5% · control person · listed since Jul 2020
- No longer listedHAENNI, SCOTT, ALAN · SENIOR MANAGING DIRECTOR · 25–50% · indirect via SCM INVESTORS LLC · control person · listed since Jul 2020
- No longer listedMCALISTER, ALEXANDER, WORTH · SENIOR MANAGING DIRECTOR · 25–50% · indirect via SCM INVESTORS LLC · control person · listed since Dec 2015
- No longer listedMONTGOMERY, MARK, MICHEL · SENIOR MANAGING DIRECTOR · 25–50% · indirect via SCM INVESTORS LLC · control person · listed since Dec 2015
- No longer listedSCM INVESTORS LLC · MEMBER (CLASS B UNITS) · 10–25% · listed since Oct 2010
- No longer listedTRUIST FINANCIAL CORPORATION · MEMBER (CLASS A UNITS) · 75% or more · control person · listed since Oct 2010
- AddedGUARDIAN CAPITAL LLC · MEMBER · 75% or more · control person
- ChangedBRIDGES, ROBERT, WILSON · title SENIOR MANAGING DIRECTOR, BOARD MEMBER → SENIOR MANAGING DIRECTOR
- ChangedHAENNI, SCOTT, ALAN · title SENIOR MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER, BOARD MEMBER → SENIOR MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER
- ChangedMCALISTER, ALEXANDER, WORTH · title SENIOR MANAGING DIRECTOR, BOARD MEMBER, PRESIDENT EMERITUS → SENIOR MANAGING DIRECTOR, VICE CHAIR
- ChangedMONTGOMERY, MARK, MICHEL · title SENIOR MANAGING DIRECTOR, BOARD MEMBER → SENIOR MANAGING DIRECTOR
Mar 22, 2024 filing
- ChangedMCALISTER, ALEXANDER, WORTH · title SENIOR MANAGING DIRECTOR, BOARD MEMBER, PRESIDENT AMERITUS → SENIOR MANAGING DIRECTOR, BOARD MEMBER, PRESIDENT EMERITUS
Mar 31, 2023 filing
- ChangedHAENNI, SCOTT, ALAN · title SENIOR MANAGING DIRECTOR, CHIEF OPERATING OFFICER, BOARD MEMBER → SENIOR MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER, BOARD MEMBER
- ChangedMCALISTER, ALEXANDER, WORTH · title SENIOR MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER, BOARD MEMBER → SENIOR MANAGING DIRECTOR, BOARD MEMBER, PRESIDENT AMERITUS
- ChangedMcIntyre, Casey, Kellen · title EXECUTIVE DIRECTOR, CHIEF ADMINISTRATIVE OFFICER → MANAGING DIRECTOR, CHIEF OPERATING OFFICER
Mar 31, 2021 filing
- No longer listedHOWARD, JOHN, MICHAEL · BOARD MEMBER · Less than 5% · control person · listed since Dec 2015
- No longer listedJUNG, JOHN, BERNARD · BOARD MEMBER · Less than 5% · control person · listed since Jan 2013
- AddedDowhower, Brian, Sean · BOARD MEMBER · Less than 5% · control person
- AddedHAENNI, SCOTT, ALAN · SENIOR MANAGING DIRECTOR · 25–50% · indirect via SCM INVESTORS LLC · control person
- ChangedHAENNI, SCOTT, ALAN · title MANAGING DIRECTOR, CHIEF OPERATING OFFICER → SENIOR MANAGING DIRECTOR, CHIEF OPERATING OFFICER, BOARD MEMBER
- ChangedMCALISTER, ALEXANDER, WORTH · title SENIOR MANAGING DIRECTOR, PRESIDENT, BOARD MEMBER → SENIOR MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER, BOARD MEMBER
Mar 30, 2020 filing
- No longer listedBB&T CORPORATION · MEMBER (CLASS A UNITS) · 75% or more · control person · listed since Oct 2010
- No longer listedLACOFF, RICHARD, TODD · SENIOR MANAGING DIRECTOR, BOARD MEMBER · Less than 5% · control person · listed since Sep 2010
- No longer listedLACOFF, RICHARD, TODD · MANAGING DIRECTOR · 25–50% · indirect via SCM INVESTORS LLC · control person · listed since Dec 2015
- AddedBRIDGES, ROBERT, WILSON · SENIOR MANAGING DIRECTOR, BOARD MEMBER · Less than 5% · control person
- AddedBRIDGES, ROBERT, WILSON · SENIOR MANAGING DIRECTOR · 25–50% · indirect via SCM INVESTORS LLC · control person
- AddedTRUIST FINANCIAL CORPORATION · MEMBER (CLASS A UNITS) · 75% or more · control person
- ChangedMCALISTER, ALEXANDER, WORTH · indirect via SCM INVESTORS LLC: title MANAGING DIRECTOR → SENIOR MANAGING DIRECTOR
- ChangedMONTGOMERY, MARK, MICHEL · indirect via SCM INVESTORS LLC: title MANAGING DIRECTOR → SENIOR MANAGING DIRECTOR
Older changes (14 more filings)
Mar 29, 2019 filing
- AddedMcIntyre, Casey, Kellen · EXECUTIVE DIRECTOR, CHIEF ADMINISTRATIVE OFFICER · Less than 5% · control person
- ChangedBB&T CORPORATION · title OWNER → MEMBER (CLASS A UNITS)
- ChangedDURHAM, CHARLES, ARNOLD · title EXECTIVE DIRECTOR, CHIEF COMPLIANCE OFFICER → EXECUTIVE DIRECTOR, CHIEF COMPLIANCE OFFICER
- ChangedSCM INVESTORS LLC · title MINORITY OWNER → MEMBER (CLASS B UNITS); no longer a control person
Jun 20, 2018 filing
- No longer listedMORAN, BRIAN, MICHAEL · EXECUTIVE DIRECTOR, CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Jul 2014
- AddedDURHAM, CHARLES, ARNOLD · EXECTIVE DIRECTOR, CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Mar 29, 2018 filing
- No longer listedSHIPP, GEORGE, FITZHUGH · SENIOR MANAGING DIRECTOR · Less than 5% · control person · listed since Jan 2013
- ChangedHOWARD, JOHN, MICHAEL · now a control person
- ChangedJUNG, JOHN, BERNARD · title MEMBER OF BOARD OF DIRECTORS → BOARD MEMBER
- ChangedLACOFF, RICHARD, TODD · title SENIOR MANAGING DIRECTOR, MEMBER OF BOARD OF DIRECTORS → SENIOR MANAGING DIRECTOR, BOARD MEMBER
- ChangedMCALISTER, ALEXANDER, WORTH · title SENIOR MANAGING DIRECTOR, PRESIDENT, BOARD OF DIRECTORS → SENIOR MANAGING DIRECTOR, PRESIDENT, BOARD MEMBER
- ChangedMONTGOMERY, MARK, MICHEL · title SENIOR MANAGING DIRECTOR, MEMBER OF BOARD OF DIRECTORS → SENIOR MANAGING DIRECTOR, BOARD MEMBER
Apr 19, 2017 filing
- AddedLACOFF, RICHARD, TODD · MANAGING DIRECTOR · 25–50% · indirect via SCM INVESTORS LLC · control person
- AddedMCALISTER, ALEXANDER, WORTH · MANAGING DIRECTOR · 25–50% · indirect via SCM INVESTORS LLC · control person
- AddedMONTGOMERY, MARK, MICHEL · MANAGING DIRECTOR · 25–50% · indirect via SCM INVESTORS LLC · control person
Mar 30, 2017 filing
- No longer listedBEYER, TIMOTHY, PAUL · MANAGING DIRECTOR · Less than 5% · control person · listed since Sep 2010
- No longer listedMCAULEY, JOHN, W · MANAGING DIRECTOR · Less than 5% · control person · listed since Aug 2015
- No longer listedSCHAPPE, JEFFREY, JAMES · MANAGING DIRECTOR · Less than 5% · control person · listed since Sep 2010
- No longer listedSHINER, FARLEY, CARR · MANAGING DIRECTOR · Less than 5% · control person · listed since Jan 2013
- No longer listedWILLIS, JAMES, CARLYLE · MANAGING DIRECTOR · Less than 5% · control person · listed since Sep 2010
Dec 9, 2016 filing
- No longer listedBREA, EDUARDO · SENIOR MANAGING DIRECTOR, MEMBER OF BOARD OF DIRECTORS · Less than 5% · control person · listed since Apr 2005
Dec 9, 2015 filing
- AddedHOWARD, JOHN, MICHAEL · BOARD MEMBER · Less than 5%
Aug 28, 2015 filing
- No longer listedFOWLER, RICHARD, EUGENE · DIRECTOR - BB&T DESIGNEE · Less than 5% · control person · listed since Sep 2010
- AddedMCAULEY, JOHN, W · MANAGING DIRECTOR · Less than 5% · control person
- ChangedBREA, EDUARDO · title SENIOR MANAGING DIRECTOR → SENIOR MANAGING DIRECTOR, MEMBER OF BOARD OF DIRECTORS
- ChangedHAENNI, SCOTT, ALAN · title EXECUTIVE DIRECTOR, CHIEF OPERATING OFFICER → MANAGING DIRECTOR, CHIEF OPERATING OFFICER
- ChangedJUNG, JOHN, BERNARD · title DIRECTOR- BB&T DESIGNEE → MEMBER OF BOARD OF DIRECTORS
- ChangedLACOFF, RICHARD, TODD · title SENIOR MANAGING DIRECTOR → SENIOR MANAGING DIRECTOR, MEMBER OF BOARD OF DIRECTORS
- ChangedMCALISTER, ALEXANDER, WORTH · title MANAGING DIRECTOR, PRESIDENT → SENIOR MANAGING DIRECTOR, PRESIDENT, BOARD OF DIRECTORS
- ChangedMONTGOMERY, MARK, MICHEL · title SENIOR MANAGING DIRECTOR → SENIOR MANAGING DIRECTOR, MEMBER OF BOARD OF DIRECTORS
Feb 9, 2015 filing
- No longer listedCOTNER, KENNETH, ROY · MANAGING DIRECTOR, CHIEF OPERATING OFFICER · Less than 5% · control person · listed since Sep 2013
- No longer listedYOUNGBLOOD, ROBERT, LEE · DIRECTOR - BB&T DESIGNEE · Less than 5% · control person · listed since Apr 2005
- ChangedHAENNI, SCOTT, ALAN · title EXECUTIVE DIRECTOR, CHIEF ADMINISTRATIVE OFFICER → EXECUTIVE DIRECTOR, CHIEF OPERATING OFFICER
- ChangedMORAN, BRIAN, MICHAEL · now a control person
Oct 8, 2014 filing
- No longer listedTATE, ANDREW, WIMBERLY · MANAGING DIRECTOR · Less than 5% · control person · listed since Sep 2010
- AddedHAENNI, SCOTT, ALAN · EXECUTIVE DIRECTOR, CHIEF ADMINISTRATIVE OFFICER · Less than 5% · control person
- ChangedBREA, EDUARDO · title MANAGING DIRECTOR → SENIOR MANAGING DIRECTOR
- ChangedLACOFF, RICHARD, TODD · title MANAGING DIRECTOR → SENIOR MANAGING DIRECTOR
- ChangedMCALISTER, ALEXANDER, WORTH · title MANAGING DIRECTOR → MANAGING DIRECTOR, PRESIDENT
- ChangedMONTGOMERY, MARK, MICHEL · title MANAGING DIRECTOR → SENIOR MANAGING DIRECTOR
- ChangedSHIPP, GEORGE, FITZHUGH · title MANAGING DIRECTOR → SENIOR MANAGING DIRECTOR
Jul 18, 2014 filing
- AddedMORAN, BRIAN, MICHAEL · EXECUTIVE DIRECTOR, CHIEF COMPLIANCE OFFICER · Less than 5%
- ChangedCOTNER, KENNETH, ROY · title MANAGING DIRECTOR, CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER → MANAGING DIRECTOR, CHIEF OPERATING OFFICER
Sep 20, 2013 filing
- No longer listedWARD, CLINTON, LOUIS · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Sep 2010
- ChangedCOTNER, KENNETH, ROY · title MANAGING DIRECTOR, CHIEF OPERATING OFFICER → MANAGING DIRECTOR, CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER
Mar 26, 2013 filing
- No longer listedWALTON, BRIAN · MANAGING DIRECTOR · Less than 5% · control person · listed since Apr 2005
- No longer listedYATES, WILLIAM, RUFUS · DIRECTOR - BB&T DESIGNEE · Less than 5% · control person · listed since Sep 2010
- AddedJUNG, JOHN, BERNARD · DIRECTOR- BB&T DESIGNEE · Less than 5% · control person
- AddedSHINER, FARLEY, CARR · MANAGING DIRECTOR · Less than 5% · control person
- AddedSHIPP, GEORGE, FITZHUGH · MANAGING DIRECTOR · Less than 5% · control person
- ChangedSCHAPPE, JEFFREY, JAMES · title MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER → MANAGING DIRECTOR
Mar 26, 2012 filing (earliest on record)
- ListedBB&T CORPORATION · OWNER · 75% or more · control person
- ListedBEYER, TIMOTHY, PAUL · MANAGING DIRECTOR · Less than 5% · control person
- ListedBREA, EDUARDO · MANAGING DIRECTOR · Less than 5% · control person
- ListedCOTNER, KENNETH, ROY · MANAGING DIRECTOR, CHIEF OPERATING OFFICER · Less than 5% · control person
- ListedFOWLER, RICHARD, EUGENE · DIRECTOR - BB&T DESIGNEE · Less than 5% · control person
- ListedLACOFF, RICHARD, TODD · MANAGING DIRECTOR · Less than 5% · control person
- ListedMCALISTER, ALEXANDER, WORTH · MANAGING DIRECTOR · Less than 5% · control person
- ListedMONTGOMERY, MARK, MICHEL · MANAGING DIRECTOR · Less than 5% · control person
- ListedSCHAPPE, JEFFREY, JAMES · MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER · Less than 5% · control person
- ListedSCM INVESTORS LLC · MINORITY OWNER · 10–25% · control person
- ListedTATE, ANDREW, WIMBERLY · MANAGING DIRECTOR · Less than 5% · control person
- ListedWALTON, BRIAN · MANAGING DIRECTOR · Less than 5% · control person
- ListedWARD, CLINTON, LOUIS · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ListedWILLIS, JAMES, CARLYLE · MANAGING DIRECTOR · Less than 5% · control person
- ListedYATES, WILLIAM, RUFUS · DIRECTOR - BB&T DESIGNEE · Less than 5% · control person
- ListedYOUNGBLOOD, ROBERT, LEE · DIRECTOR - BB&T DESIGNEE · Less than 5% · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- ISHARES TR$7.7M +35.9%
- INVESCO EXCH TRD SLF IDX FD$7.6M +62.1%
- INVESCO EXCH TRD SLF IDX FD$5.1M +34.3%
- AMPLIFY ETF TR$4.6M +30.4%
- INVESCO EXCHANGE TRADED FD T$4.3M +1647.1%
Top Trims
- SPDR SERIES TRUST-$18.7M -98.9%
- ISHARES TR-$2.8M -9.8%
- THE CIGNA GROUP-$672.1K -12.9%
- J P MORGAN EXCHANGE TRADED F-$494.8K -14.5%
- INVESCO EXCH TRD SLF IDX FD-$490.5K -36.7%
New Positions
- INVESCO EXCH TRD SLF IDX FD$755.7K
- INVESCO EXCH TRD SLF IDX FD$498.8K
- INVESCO EXCH TRD SLF IDX FD$385.1K
- INVESCO EXCH TRD SLF IDX FD$384.6K
- INVESCO EXCH TRD SLF IDX FD$342.7K
Exited Positions
- SPDR SERIES TRUST$7.8M
- ISHARES BITCOIN TRUST ETF$2.0M
- GOLDMAN SACHS ETF TR$351.3K
- BOSTON SCIENTIFIC CORP$223.0K
- NETFLIX INC$204.9K
Sterling Financial Group, Inc. Holdings (2025-09-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | INVESCO EXCHANGE TRADED FD T | SPHQ | 46137V241 | $40.6M | 12.87% | 554,026 | SH |
| 2 | AMPLIFY ETF TR | DIVO | 032108409 | $34.1M | 10.82% | 765,866 | SH |
| 3 | J P MORGAN EXCHANGE TRADED F | JGRO | 46654Q609 | $31.9M | 10.10% | 339,850 | SH |
| 4 | ISHARES TR | INTF | 46434V274 | $29.0M | 9.20% | 808,140 | SH |
| 5 | ISHARES TR | IBHF | 46436E528 | $25.4M | 8.04% | 1,084,888 | SH |
| 6 | INVESCO EXCH TRD SLF IDX FD | BSCS | 46138J643 | $20.1M | 6.37% | 977,025 | SH |
| 7 | INVESCO EXCH TRD SLF IDX FD | BSCW | 46139W858 | $19.9M | 6.32% | 954,762 | SH |
| 8 | AMPLIFY ETF TR | IDVO | 032108722 | $19.7M | 6.25% | 528,577 | SH |
| 9 | APPLE INC | AAPL | 037833100 | $13.0M | 4.12% | 51,040 | SH |
| 10 | INVESCO ACTIVELY MANAGED EXC | GSY | 46090A887 | $5.4M | 1.72% | 108,261 | SH |
| 11 | INVESCO EXCH TRD SLF IDX FD | BSMT | 46138J478 | $4.8M | 1.52% | 206,991 | SH |
| 12 | INVESCO EXCHANGE TRADED FD T | XSMO | 46137V498 | $4.6M | 1.45% | 62,384 | SH |
| 13 | THE CIGNA GROUP | CI | 125523100 | $4.5M | 1.44% | 15,753 | SH |
| 14 | SPDR S&P 500 ETF TR | SPY | 78462F103 | $4.3M | 1.35% | 6,413 | SH |
| 15 | DIMENSIONAL ETF TRUST | DFAU | 25434V104 | $4.0M | 1.25% | 86,506 | SH |
| 16 | INVESCO EXCH TRD SLF IDX FD | BSSX | 46139W791 | $3.9M | 1.25% | 154,131 | SH |
| 17 | DIMENSIONAL ETF TRUST | DFAI | 25434V203 | $3.3M | 1.05% | 90,877 | SH |
| 18 | J P MORGAN EXCHANGE TRADED F | JMST | 46641Q654 | $2.9M | 0.93% | 57,288 | SH |
| 19 | NVIDIA CORPORATION | NVDA | 67066G104 | $2.9M | 0.91% | 15,319 | SH |
| 20 | SPDR SERIES TRUST | SPYM | 78464A854 | $2.4M | 0.74% | 30,000 | SH |
| 21 | MICROSOFT CORP | MSFT | 594918104 | $2.1M | 0.66% | 4,007 | SH |
| 22 | BERKSHIRE HATHAWAY INC DEL | BRK.B | 084670702 | $1.9M | 0.59% | 3,687 | SH |
| 23 | AMAZON COM INC | AMZN | 023135106 | $1.9M | 0.59% | 8,432 | SH |
| 24 | VANGUARD INDEX FDS | VOE | 922908512 | $1.8M | 0.58% | 10,520 | SH |
| 25 | ISHARES TR | IWV | 464287689 | $1.8M | 0.56% | 4,670 | SH |
| 26 | GRAYSCALE ETHEREUM TRUST ETF | ETHE | 389638107 | $1.7M | 0.54% | 50,000 | SH |
| 27 | ISHARES TR | DVY | 464287168 | $1.7M | 0.53% | 11,675 | SH |
| 28 | ISHARES TR | IWN | 464287630 | $1.5M | 0.48% | 8,545 | SH |
| 29 | STRATEGY INC | MSTR | 594972408 | $1.4M | 0.43% | 4,227 | SH |
| 30 | INVESCO QQQ TR | QQQ | 46090E103 | $1.2M | 0.40% | 2,079 | SH |
| 31 | TESLA INC | TSLA | 88160R101 | $1.2M | 0.38% | 2,668 | SH |
| 32 | CVS HEALTH CORP | CVS | 126650100 | $1.2M | 0.37% | 15,486 | SH |
| 33 | ALPHABET INC | GOOGL | 02079K305 | $904.3K | 0.29% | 3,720 | SH |
| 34 | INVESCO EXCH TRD SLF IDX FD | BSMW | 46139W833 | $845.7K | 0.27% | 33,863 | SH |
| 35 | META PLATFORMS INC | META | 30303M102 | $791.7K | 0.25% | 1,078 | SH |
| 36 | INVESCO EXCH TRD SLF IDX FD | BSMU | 46138J445 | $772.1K | 0.24% | 35,225 | SH |
| 37 | INVESCO EXCH TRD SLF IDX FD | BSMV | 46138J411 | $762.0K | 0.24% | 36,270 | SH |
| 38 | INVESCO EXCH TRD SLF IDX FD | BSMS | 46138J486 | $757.3K | 0.24% | 32,343 | SH |
| 39 | INVESCO EXCH TRD SLF IDX FD | BSMY | 46139W767 | $755.7K | 0.24% | 31,062 | SH |
| 40 | CHEVRON CORP NEW | CVX | 166764100 | $717.4K | 0.23% | 4,620 | SH |
| 41 | INVESCO EXCH TRD SLF IDX FD | BSMR | 46138J494 | $671.9K | 0.21% | 28,399 | SH |
| 42 | EMPIRE ST RLTY OP L P | ESBA | 292102100 | $631.7K | 0.20% | 84,909 | SH |
| 43 | INVESCO EXCH TRD SLF IDX FD | BSMQ | 46138J510 | $626.3K | 0.20% | 26,509 | SH |
| 44 | BROADCOM INC | AVGO | 11135F101 | $598.8K | 0.19% | 1,815 | SH |
| 45 | ALPHABET INC | GOOG | 02079K107 | $589.6K | 0.19% | 2,421 | SH |
| 46 | INVESCO EXCH TRD SLF IDX FD | — | 46138J528 | $507.6K | 0.16% | 20,696 | SH |
| 47 | INVESCO EXCH TRD SLF IDX FD | BSCX | 46139W825 | $507.4K | 0.16% | 23,635 | SH |
| 48 | INVESCO EXCH TRD SLF IDX FD | BSCY | 46139W783 | $498.8K | 0.16% | 23,730 | SH |
| 49 | PALO ALTO NETWORKS INC | PANW | 697435105 | $494.4K | 0.16% | 2,428 | SH |
| 50 | JPMORGAN CHASE & CO. | JPM | 46625H100 | $483.9K | 0.15% | 1,534 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2025-09-30 | 2025-11-17 | $315.5M | 73 | 0001991301-25-000008 |
| 2025-06-30 | 2025-07-10 | $297.9M | 71 | 0001991301-25-000004 |