Thomas J. Portz

STERLING CAPITAL MANAGEMENT

Brookfield, WI 53005

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CRD#: 1218627

Professional summary

Thomas John Portz, CFP® is a registered financial advisor currently at STERLING CAPITAL MANAGEMENT INC located in Brookfield, Wisconsin and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Waukesha, Wisconsin.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7, Series 24, Series 4 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Portz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1995

Experience

Current

November 7, 1997 - Present

STERLING CAPITAL MANAGEMENT INC

Office #1: 17160 W. North Ave Suite 200, Brookfield, WI 53005

RIA

CRD#: 106822

Brookfield, WI

Current

December 5, 2025 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 1801 Jennifer Lane, Waukesha, WI 53186Office #2: 17160 W. North Avenue Suite 200, Brookfield, WI 53005

RIA

CRD#: 13609

WAUKESHA, WI

Past

February 18, 2010 - December 5, 2025

MOLONEY SECURITIES CO., INC.

CRD#: 38535

WAUKESHA, WI

Past

August 24, 2009 - March 19, 2010

MERITUS FINANCIAL GROUP, INC.

CRD#: 128957

WAUKESHA, WI

Past

June 23, 2003 - August 18, 2009

WATERSTONE FINANCIAL GROUP, INC.

RIA

CRD#: 10078

WAUKESHA, WI

Past

October 28, 2002 - August 18, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

WAUKESHA, WI

Past

October 13, 1997 - October 28, 2002

DREHER & ASSOCIATES, INC.

CRD#: 8665

OAKBROOK TERRACE, IL

Past

January 15, 1988 - September 25, 1997

INVESTMENT DESIGNERS, INC.

CRD#: 19527

BROOKFIELD, WI

Past

December 21, 1983 - January 19, 1988

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STERLING CAPITAL MANAGEMENT INC

CRD#: 106822 / SEC#: 801-54107

RIA

Registered Investment Advisory firm - (3/24/1997 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(12/5/2025)

Colorado
(12/5/2025)

Connecticut
(12/5/2025)

Florida
(12/8/2025)

Georgia
(12/5/2025)

Illinois
(12/5/2025)

Indiana
(12/5/2025)

Iowa
(3/18/2026)

Kentucky
(12/5/2025)

Maryland
(12/5/2025)

Michigan
(12/5/2025)

Minnesota
(12/5/2025)

Nevada
(12/5/2025)

New Mexico
(12/5/2025)

New York
(12/5/2025)

Oregon
(12/5/2025)

Tennessee
(12/5/2025)

Texas
(12/5/2025)

Washington
(12/5/2025)

IAR

Wisconsin
(11/7/1997)

Wisconsin
(12/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/22/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/25/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/13/1989

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/20/1988

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 1/27/1988

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STERLING CAPITAL MANAGEMENT INC

CRD#: 106822 / SEC#: 801-54107

RIA

Registered Investment Advisory firm - (3/24/1997 Approved)

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Contact information

Main Address

17160 W. North Ave Suite 200, Brookfield, WI 53005

Mailing Address

Phone number

(262) 970-9700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STERLING CAPITAL ADV-PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	413
AUM (Assets Under Management)	$ 255,218,348

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Thomas J. Portz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Portz's CRS (Customer Relationship Summary).

Certified licenses

Experience

STERLING CAPITAL MANAGEMENT INC

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

MOLONEY SECURITIES CO., INC.

MERITUS FINANCIAL GROUP, INC.

WATERSTONE FINANCIAL GROUP, INC.

WATERSTONE FINANCIAL GROUP, INC.

DREHER & ASSOCIATES, INC.

INVESTMENT DESIGNERS, INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

STERLING CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/22/1983

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 3

Date: 2/25/1986

Series 7

Date: 12/17/1983

Series 24

Date: 3/13/1989

Series 4

Date: 6/20/1988

Series 53

Date: 1/27/1988

FINRA

Current Firm

STERLING CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STERLING CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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