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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

CLA FINANCIAL ADVISORS, LLC

CRD 156438

NORTHBROOK, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:13174c16-3b8f-e0d7-7000-442cf539bf41

Data as of Mar 7, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Feb 14, 2013 to Mar 7, 2016
7 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $155MItem 5.F on the latest filing (2016-03-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $153M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 3
Accounts: 1,435
SEC number: 801-77662
CRD: 156438
Filings on the tape: 7
First filed: Feb 14, 2013
Latest filed: Mar 7, 2016
Organised: Limited Liability Company, Illinois

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
O'HARA, STEPHEN, PATRICK	MANAGING MEMBER	E	yes	03/2011	Feb 14, 2013	Mar 7, 2016
FLIEGEL, JOEL, ADAM	Coo	B	no	01/2012	Feb 14, 2013	Mar 7, 2016
SADZEWICZ, GERY, JOSEPH	CHIEF COMPLIANCE OFFICER	Na	no	03/2011	Feb 14, 2013	Mar 7, 2016

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 7, 2016	$155M	$153M	5	3	n/a	n/a	n/a
2014	Mar 17, 2015	$170M	$155M	5	3	n/a	n/a	n/a
2013	Mar 17, 2014	$152M	$150M	5	3	n/a	n/a	n/a
2012	Mar 26, 2013	$125M	$110M	6	4	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$155M	$170M	-8.9%	$125M	7.4%	5	5	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	3	Mar 1, 2017	Mar 6, 2017	NORTHBROOK, IL	Firm absorbed	Other	75.0%

Relationships

Owns (2)

← SADZEWICZ, GERY, JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 14, 2013 to presentfactForm ADV
← FLIEGEL, JOEL, ADAMOwnerCOO, ownership code B, individual
Feb 14, 2013 to presentfactForm ADV

Controls (1)

← O'HARA, STEPHEN, PATRICKOwnerMANAGING MEMBER, ownership code E, individual
Feb 14, 2013 to presentfactForm ADV

Registered with (5)

← GERY JOSEPH SADZEWICZAdvisorregistration: previous registration
Mar 8, 2011 to Mar 23, 2017factForm ADV
← JOEL ADAM FLIEGELAdvisorregistration: previous registration
Apr 15, 2011 to Mar 1, 2017factForm ADV
← DUSTIN KRIENGSAK-OBHASAdvisorregistration: previous registration
Apr 15, 2011 to Mar 1, 2017factForm ADV
← Steven Richard McGowanAdvisorregistration: previous registration
Mar 24, 2016 to Mar 1, 2017factForm ADV
← CHRISTOPHER ROBERT DAVIDSONAdvisorregistration: previous registration
Jun 2, 2011 to Apr 21, 2014factForm ADV

Moved with (1)

→ WEALTH ENHANCEMENT ADVISORY SERVICES, LLCRegistered adviser3 advisors, firm absorbed, same day
Mar 1, 2017 to Mar 6, 2017factForm ADV

Dated events

Occurred
Feb 14, 2013
First Form ADV filing
Cla Financial Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:13174c16-3b8f-e0d7-7000-442cf539bf41
First observed: Feb 14, 2013
Last observed: Mar 7, 2016 128 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CLA FINANCIAL ADVISORS, LLC

CRD 156438

NORTHBROOK, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:13174c16-3b8f-e0d7-7000-442cf539bf41

Data as of Mar 7, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

O'HARA, STEPHEN, PATRICK

MANAGING MEMBER

yes

03/2011

Feb 14, 2013

Mar 7, 2016

FLIEGEL, JOEL, ADAM

Coo

01/2012

Feb 14, 2013

Mar 7, 2016

SADZEWICZ, GERY, JOSEPH

CHIEF COMPLIANCE OFFICER

03/2011

Feb 14, 2013

Mar 7, 2016

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 7, 2016

$155M

$153M

n/a

2014

Mar 17, 2015

$170M

$155M

n/a

2013

Mar 17, 2014

$152M

$150M

n/a

2012

Mar 26, 2013

$125M

$110M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$155M

$170M

-8.9%

$125M

7.4%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Mar 1, 2017

Mar 6, 2017

NORTHBROOK, IL

Firm absorbed

Other

75.0%