Stern Capital Management, Inc.
- Regulatory AUM
- $298M
- Discretionary
- $295M
- Clients
- 656
- Avg AUM / client
- $454K
- Accounts
- 656
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 582 | $121M | 40.6% |
| High net worth individuals | 67 | $175M | 59.0% |
| Charitable organizations | 7 | $1.4M | 0.45% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Michiana Area Electrical Workers Pension Fund Board Of Trustees Michiana Area Electrical Workers Pension Fund | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stuart Mark Stern | President/Chief Compliance Officer | Oct 1999 (27y) | 75% or more | |
| Alan Brian Stern | Registered representative | Aug 2015 (11y) | ||
| Linda Antonelli Nissen | Registered representative | Jun 2017 (9y) |
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.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Michiana Area Electrical Workers Pension Fund | Board Of Trustees Michiana Area Electrical Workers Pension Fund | 1,392 | $228M | 07/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 910 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $298M (100% 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 27, 2026.
View current Form ADV (SEC/IAPD) ↗