AdvisorCensus / Financial advisors / Alabama / Birmingham / Johnson Sterling, Inc.
Johnson Sterling, Inc. is an SEC-registered investment advisory firm in Birmingham, AL, registered since 1995, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.
Quick answers
From the filingHow is Johnson Sterling, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Johnson Sterling, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
How much does Johnson Sterling, Inc. charge?
Its Form ADV Part 2A brochure dated March 31, 2026 states: Hourly rate: $85 to $500 an hour (individual nondiscretionary advisory service and the individual investment…). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Johnson Sterling, Inc. located?
Johnson Sterling, Inc.'s principal office is in Birmingham, AL, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).
Is Johnson Sterling, Inc. registered with the SEC or a state?
Johnson Sterling, Inc. is an SEC-registered investment advisory firm, registered since 1995. Status as filed: Approved. CRD 106379.
How much does Johnson Sterling, Inc. manage?
Johnson Sterling, Inc. reports $3,901,463,778 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (14% discretionary).
How have Johnson Sterling, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Johnson Sterling, Inc.: Regulatory assets under management: $2,636,578,354 in the October 2021 data and $3,901,463,778 in the October 2026 data, up 48%. Total employees: 12 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Johnson Sterling, Inc. serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (171); individuals (other than high net worth individuals) (161); pension and profit sharing plans (but not the plan participants or government pension plans) (26).
Does Johnson Sterling, Inc. report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/106379
What changed in Johnson Sterling, Inc.'s recent Form ADV filings?
In the April 2026 filing data: Employees performing advisory functions went from 6 to 5. Regulatory assets under management went from $3,337,550,034 to $3,901,463,778 (+17%). Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Hourly rate: $85 to $500 an hour (individual nondiscretionary advisory service and the individual investment…)
The brochure's wording
Fees for the individual nondiscretionary advisory service and the individual investment consultation service are charged at hourly rates ranging from $85.00 to $500.00 per hour
As stated in the firm's Form ADV Part 2A brochure dated March 31, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$3,901,463,778 as of October 2026, filing dated March 31, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
Registration and firm details
Items 1, 2, 5- Also doing business as
- JOHNSON STERLING ASSET MANAGEMENT, JOHNSON STERLING RETIREMENT SERVICES
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 1995 (31 years)
- Employees
- Total: 10. Performing investment advisory functions: 5.
- Wrap fee program participation
- No.
- Other offices (Schedule D, Section 1.F)
-
1 other office, as of the April 2026 filing
- States registered or notice-filed
-
6 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $3,901,463,778 | 10 | March 31, 2026 |
| October 2025 | $3,337,550,034 | 11 | March 24, 2025 |
| October 2024 | $2,984,634,800 | 12 | March 28, 2024 |
| October 2023 | $2,603,892,803 | 12 | April 17, 2023 |
| October 2022 | $2,946,089,814 | 12 | March 28, 2022 |
| October 2021 | $2,636,578,354 | 12 | March 23, 2021 |
Regulatory assets under management: $2,636,578,354 in the October 2021 data and $3,901,463,778 in the October 2026 data, up 48%.
Total employees: 12 in October 2021 and 10 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Employees performing advisory functions went from 6 to 5.
- Regulatory assets under management went from $3,337,550,034 to $3,901,463,778 (+17%).
- Updated its list of owners and control persons (Schedule A).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Johnson Sterling, Inc. (CRD 106379): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/johnson-sterling-inc-birmingham-al-106379