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Nathan E. Rhees

STERLING CAPITAL MANAGEMENT LLC
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 4085346
NR

Professional summary

Nathan Ellis Rhees, who also goes by Nate Rhees, is a registered financial advisor currently at STERLING CAPITAL MANAGEMENT LLC located in Charlotte, North Carolina.

Nathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Nathan has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nate Rhees

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.
my529 60 S 400 W, 5th Floor Salt Lake City, UT 84101 Nathan Rhees is an investment committee member for the Utah state 529 plan. Duties include participaton in quarterly meetings, assessing investment options, reviewing reports, approving platform offerings, allocation glidepaths, etc. This position is investment related. This role started Q1 2020. The approximate number of hours spent in this role is 1 hour per month, taking place in securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan Ellis Rhees'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®
None

Experience

Current

September 24, 2025 - Present

STERLING CAPITAL MANAGEMENT LLC

Office #1: 4350 Congress Street, Suite 1000, Charlotte, NC 28209
RIA
CRD#: 135405
Charlotte, NC
Past

September 19, 2014 - August 7, 2025

ALTA CAPITAL MANAGEMENT LLC

RIA
CRD#: 106786
SALT LAKE CITY, UT
Past

May 15, 2008 - June 27, 2011

INTERMOUNTAIN FINANCIAL SERVICES, INC.

BD
CRD#: 15386
SALT LAKE CITY, UT
Past

March 28, 2002 - July 25, 2006

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

December 6, 2000 - October 4, 2001

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

January 24, 2000 - October 20, 2000

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY

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".
SC
STERLING CAPITAL MANAGEMENT LLC
DE GARMO & KELLEHER INVESTMENT COUNSEL | STERLING CAPITAL MANAGEMENT LLC | STERLING CAPITAL MANAGEMENT

CRD#: 135405 / SEC#: 801-64257

RIA
Registered Investment Advisory firm - (6/2/2005 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.

Highlighted states indicate IAR registrations

IAR
North Carolina
(9/30/2025)
IAR
Utah
(9/24/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/18/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/21/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/24/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/21/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SC
STERLING CAPITAL MANAGEMENT LLC
DE GARMO & KELLEHER INVESTMENT COUNSEL | STERLING CAPITAL MANAGEMENT LLC | STERLING CAPITAL MANAGEMENT

CRD#: 135405 / SEC#: 801-64257

RIA
Registered Investment Advisory firm - (6/2/2005 Approved)
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Contact information

Main Address
4350 Congress Street Suite 1000, Charlotte, NC 28209
Mailing Address
Phone number
(704) 927-4175
Established
Firm type
Fiscal year end
# of Employees
182

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

STERLING CAPITAL MANAGEMENT ADV 2A_MARCH 26, 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts3,535
AUM (Assets Under Management)$ 66,159,908,769

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
04/10/2025
Cover Page
Report
03/28/2024
Cover Page
Report
04/28/2023
Cover Page
Report

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.

Company Information

STERLING CAPITAL MANAGEMENT LLC

CRD#: 135405Charlotte, NC 28209

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