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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

CLG LLC

CRD 282605

LONG BEACH, CA

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:c6c8f00c-35cf-a3d8-2cc1-fdc85098106d

Data as of Aug 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 40
Dated events: 7
On other graphs: 0
Observed: Sep 9, 2016 to Aug 3, 2026
46 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: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=12.0
Regulatory AUM: $1.1BItem 5.F on the latest filing (2026-08-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.1B
Private client RAUM: $1.1BderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 23
RAUM per advisor: $48.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 35
Advisory employees: 23
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 2,771
Individual clients: 745
High net worth clients: 689
Custody, client assets: $111M
SEC number: 801-108414
CIK: 2059872
CRD: 282605
Filings on the tape: 46
First filed: Sep 9, 2016
Latest filed: Aug 3, 2026
Organised: Limited Liability Company, CA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MICHAEL LOUIS BISHOP	n/a	Murrieta, CA \| LONG BEACH, CA	9	30	2	no
KURT ROBERT EHMANN	n/a	LONG BEACH, CA	9	23	2	yes
ERIC VAN ANSPACH	n/a	LONG BEACH, CA \| Murrieta, CA	9	15	2	no
Connor Christopher Campbell	n/a	LONG BEACH, CA	9	10	2	no
DAVID CHARLES NEFF	Certified Financial Planner	Cerritos, CA \| LONG BEACH, CA	9	29	2	yes
DENNIS C SMITH	n/a	LONG BEACH, CA	9	27	2	no
ELIZABETH Cartwright CARR	n/a	Long Beach, CA	9	31	2	no
SARAH CARTWRIGHT EHMANN	n/a	LONG BEACH, CA	9	28	2	no
JOHN DAVID CARTWRIGHT	n/a	LONG BEACH, CA	9	31	3	no
GERALD E MITCHELL	Certified Financial Planner	LONG BEACH, CA	9	11	2	yes
KENNETH SCOTT LEE	Certified Financial Planner	LONG BEACH, CA	9	31	3	yes
Bryan Anthony Hernandez	n/a	LONG BEACH, CA	8	13	2	no
ELIZABETH ANNE MCELRAVEY	Certified Financial Planner	LONG BEACH, CA \| Torrance, CA	3	35	2	yes
ROBERT HAROLD SOWDER	n/a	Torrance, CA \| LONG BEACH, CA	3	30	5	no
RICHARD PETER MORAN	Certified Financial Planner	Torrance, CA \| LONG BEACH, CA	2	52	2	yes
JON WAYNE BEMIS	Certified Financial Planner	LONG BEACH, CA	2	34	2	no
ALICE CLARA-MAE AMICK	n/a	Whittier, CA \| LONG BEACH, CA	2	13	2	no
ROBERT MICHAEL KOERNER	n/a	LONG BEACH, CA \| Prosper, TX	2	35	2	yes
PAMELA CARTWRIGHT ECKENRODE	n/a	Long Beach, CA	1	30	2	yes
KIMBERLEY KASARDA NEFF	n/a	Whittier, CA \| LONG BEACH, CA	1	28	2	yes
PAUL FRANCIS HEISING	Certified Financial Planner	LONG BEACH, CA \| Torrance, CA	1	24	2	yes
Melissa Andrizzi-Sobel	n/a	LONG BEACH, CA \| Torrance, CA	1	10	n/a	no
Christian Luke Fermin	n/a	LONG BEACH, CA	0	11	2	yes

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
CARR, ELIZABETH, ANN	CHIEF COMPLIANCE OFFICER	Na	yes	09/2016	Aug 3, 2026	Aug 3, 2026
CLG HOLDING COMPANY, LLC	MANAGING MEMBER	E	yes	09/2016	Aug 3, 2026	Aug 3, 2026
CARR, ELIZABETH, ANN	Partner	F	no	08/2016	Sep 9, 2016	Dec 4, 2024
CARTWRIGHT, JANICE, GIBSON	Partner	F	no	08/2016	Sep 22, 2023	Dec 4, 2024
CARTWRIGHT, JOHN, DAVID	Partner	F	no	08/2016	Sep 22, 2023	Dec 4, 2024
ECKENRODE, PAMELA, CARTWRIGHT	Partner	F	no	08/2016	Sep 22, 2023	Dec 4, 2024
EHMANN, KURT, ROBERT	Partner	F	no	08/2016	Sep 22, 2023	Dec 4, 2024
EHMANN, SARAH, CARTWRIGHT	Partner	F	no	08/2016	Sep 22, 2023	Dec 4, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Cerritos	CA	United States	2	yes
Murrieta	CA	United States	2	yes
n/a	n/a	n/a	2	yes
Torrance	CA	United States	1	yes
Ukiah	CA	United States	1	yes

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
2025	Feb 9, 2026	$1.1B	$1.1B	35	23	4	n/a	n/a
2024	Feb 19, 2025	$954M	$933M	22	20	5	n/a	n/a
2023	Jan 29, 2024	$801M	$781M	26	25	5	n/a	n/a
2022	Feb 24, 2023	$453M	$439M	24	22	4	n/a	n/a
2021	Feb 3, 2022	$465M	$407M	22	21	5	n/a	n/a
2020	Mar 12, 2021	$359M	$254M	26	23	7	n/a	n/a
2019	Mar 19, 2020	$291M	$234M	34	27	6	n/a	n/a
2018	Mar 22, 2019	$163M	$123M	22	22	4	n/a	n/a
2017	Feb 27, 2018	$120M	$77.5M	22	22	3	n/a	n/a
2016	Jan 27, 2017	$2.7M	$2.7M	6	6	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	8	1

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
2025	$1.1B	$954M	17.8%	$453M	35.4%	35	22	4	5

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
LPL FINANCIAL LLC	2	May 1, 2018	May 1, 2018	GARDENA, CA	Team lift out	RIA to RIA	13.3%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CETERA INVESTMENT ADVISERS LLC	10	Dec 31, 2023	Jan 16, 2026	LONG BEACH, CA	Team lift out	Ibd to RIA	0.2%
CETERA ADVISOR NETWORKS LLC	10	Jun 29, 2023	Feb 27, 2018	LONG BEACH, CA	Team lift out	Ibd to RIA	2.6%

Relationships

Registered with (29)

← Christian Luke FerminAdvisorregistration: current employment
Jan 16, 2026 to presentfactForm ADV
← Melissa Andrizzi-SobelAdvisorregistration: current employment
Apr 15, 2025 to presentfactForm ADV
← PAUL FRANCIS HEISINGAdvisorregistration: current employment
Jan 3, 2025 to presentfactForm ADV
← PAMELA CARTWRIGHT ECKENRODEAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← KIMBERLEY KASARDA NEFFAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← ROBERT MICHAEL KOERNERAdvisorregistration: current employment
Dec 15, 2023 to presentfactForm ADV
← JON WAYNE BEMISAdvisorregistration: current employment
Sep 28, 2023 to presentfactForm ADV
← ALICE CLARA-MAE AMICKAdvisorregistration: current employment
Sep 28, 2023 to presentfactForm ADV
← RICHARD PETER MORANAdvisorregistration: current employment
Sep 26, 2023 to presentfactForm ADV
← ROBERT HAROLD SOWDERAdvisorregistration: current employment
Sep 13, 2023 to presentfactForm ADV
← ELIZABETH ANNE MCELRAVEYAdvisorregistration: current employment
Jul 26, 2023 to presentfactForm ADV
← Bryan Anthony HernandezAdvisorregistration: current employment
Feb 27, 2018 to presentfactForm ADV
← KENNETH SCOTT LEEAdvisorregistration: current employment
Mar 25, 2017 to presentfactForm ADV
← ELIZABETH Cartwright CARRAdvisorregistration: current employment
Feb 16, 2017 to presentfactForm ADV
← SARAH CARTWRIGHT EHMANNAdvisorregistration: current employment
Feb 16, 2017 to presentfactForm ADV
← JOHN DAVID CARTWRIGHTAdvisorregistration: current employment
Feb 16, 2017 to presentfactForm ADV
← GERALD E MITCHELLAdvisorregistration: current employment
Feb 16, 2017 to presentfactForm ADV
← DAVID CHARLES NEFFAdvisorregistration: current employment
Jan 30, 2017 to presentfactForm ADV
← DENNIS C SMITHAdvisorregistration: current employment
Jan 30, 2017 to presentfactForm ADV
← Connor Christopher CampbellAdvisorregistration: current employment
Jan 26, 2017 to presentfactForm ADV
← MICHAEL LOUIS BISHOPAdvisorregistration: current employment
Dec 27, 2016 to presentfactForm ADV
← KURT ROBERT EHMANNAdvisorregistration: current employment
Dec 27, 2016 to presentfactForm ADV
← ERIC VAN ANSPACHAdvisorregistration: current employment
Dec 27, 2016 to presentfactForm ADV
← DALE BRUCE EICHMANAdvisorregistration: previous registration
May 17, 2017 to Jan 5, 2024factForm ADV
← IAN M GROVEAdvisorregistration: previous registration
Feb 27, 2020 to Jul 6, 2021factForm ADV
← Michael Thomas McDaidAdvisorregistration: previous registration
Dec 18, 2019 to Jul 1, 2020factForm ADV
← HARRY MARTIN KITTERAdvisorregistration: previous registration
Jan 17, 2017 to May 1, 2018factForm ADV
← ALISON K SABRANAdvisorregistration: previous registration
Apr 11, 2017 to May 1, 2018factForm ADV
← Jemuel M AbarientosAdvisorregistration: previous registration
Mar 2, 2017 to Dec 14, 2017factForm ADV

Moved with (3)

← CETERA INVESTMENT ADVISERS LLCRegistered adviser9 advisors, team lift out, same day
Dec 31, 2023 to Jan 16, 2026factForm ADV
→ LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out, same day
May 1, 2018 to May 1, 2018factForm ADV
← CETERA ADVISOR NETWORKS LLCRegistered adviser10 advisors, team lift out, same day
Jun 29, 2023 to Feb 27, 2018factForm ADV

Owns (6)

← CARR, ELIZABETH, ANNOwnerPARTNER, ownership code F, individual
Sep 9, 2016 to Dec 4, 2024factForm ADV
← ECKENRODE, PAMELA, CARTWRIGHTOwnerPARTNER, ownership code F, individual
Sep 22, 2023 to Dec 4, 2024factForm ADV
← EHMANN, SARAH, CARTWRIGHTOwnerPARTNER, ownership code F, individual
Sep 22, 2023 to Dec 4, 2024factForm ADV
← EHMANN, KURT, ROBERTOwnerPARTNER, ownership code F, individual
Sep 22, 2023 to Dec 4, 2024factForm ADV
← CARTWRIGHT, JOHN, DAVIDOwnerPARTNER, ownership code F, individual
Sep 22, 2023 to Dec 4, 2024factForm ADV
← CARTWRIGHT, JANICE, GIBSONOwnerPARTNER, ownership code F, individual
Sep 22, 2023 to Dec 4, 2024factForm ADV

Controls (2)

← CARR, ELIZABETH, ANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 9, 2016 to Dec 4, 2024factForm ADV
← CLG HOLDING COMPANY, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Sep 9, 2016 to Dec 4, 2024factForm ADV

Dated events

Occurred
Jan 29, 2024
Regulatory AUM changed
Clg Llc reported RAUM $800.6M, up 77% from $452.8M (2024-01-05 to 2024-01-29)
Form ADVobserved 4 days ago
$348M
Occurred
Jan 5, 2024
Advisor changed firm
Dale Bruce Eichman left Clg Llc for Cetera Investment Advisers Llc (registered 2023-06-29)
Form ADVobserved 4 days ago
Occurred
Dec 31, 2023
Team lift-out
9 advisors left Cetera Investment Advisers LLC (Torrance, CA) for Clg LLC on the same day
Form ADVobserved 4 days ago
9 advisors
Occurred
Jun 29, 2023
Team lift-out
10 advisors left Cetera Advisor Networks LLC (Long Beach, CA) for Clg LLC on the same day
Form ADVobserved 4 days ago
10 advisors
Occurred
Feb 3, 2022
Regulatory AUM changed
Clg Llc reported RAUM $465.1M, up 30% from $359.2M (2021-07-06 to 2022-02-03)
Form ADVobserved 4 days ago
$106M
Occurred
Mar 19, 2020
Regulatory AUM changed
Clg Llc reported RAUM $290.8M, up 78% from $163.0M (2019-10-07 to 2020-03-19)
Form ADVobserved 4 days ago
$128M
Occurred
Sep 9, 2016
First Form ADV filing
Clg Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c6c8f00c-35cf-a3d8-2cc1-fdc85098106d
First observed: Sep 9, 2016
Last observed: Aug 3, 2026 47 days 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.

CLG LLC

CRD 282605

LONG BEACH, CA

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:c6c8f00c-35cf-a3d8-2cc1-fdc85098106d

Data as of Aug 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:11 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MICHAEL LOUIS BISHOP

n/a

Murrieta, CA | LONG BEACH, CA

KURT ROBERT EHMANN

n/a

LONG BEACH, CA

yes

ERIC VAN ANSPACH

n/a

LONG BEACH, CA | Murrieta, CA

Connor Christopher Campbell

n/a

LONG BEACH, CA

DAVID CHARLES NEFF

Certified Financial Planner

Cerritos, CA | LONG BEACH, CA

yes

DENNIS C SMITH

n/a

LONG BEACH, CA

ELIZABETH Cartwright CARR

n/a

Long Beach, CA

SARAH CARTWRIGHT EHMANN

n/a

LONG BEACH, CA

JOHN DAVID CARTWRIGHT

n/a

LONG BEACH, CA

GERALD E MITCHELL

Certified Financial Planner

LONG BEACH, CA

yes

KENNETH SCOTT LEE

Certified Financial Planner

LONG BEACH, CA

yes

Bryan Anthony Hernandez

n/a

LONG BEACH, CA

ELIZABETH ANNE MCELRAVEY

Certified Financial Planner

LONG BEACH, CA | Torrance, CA

yes

ROBERT HAROLD SOWDER

n/a

Torrance, CA | LONG BEACH, CA

RICHARD PETER MORAN

Certified Financial Planner

Torrance, CA | LONG BEACH, CA

yes

JON WAYNE BEMIS

Certified Financial Planner

LONG BEACH, CA

ALICE CLARA-MAE AMICK

n/a

Whittier, CA | LONG BEACH, CA

ROBERT MICHAEL KOERNER

n/a

LONG BEACH, CA | Prosper, TX

yes

PAMELA CARTWRIGHT ECKENRODE

n/a

Long Beach, CA

yes

KIMBERLEY KASARDA NEFF

n/a

Whittier, CA | LONG BEACH, CA

yes

PAUL FRANCIS HEISING

Certified Financial Planner

LONG BEACH, CA | Torrance, CA

yes

Melissa Andrizzi-Sobel

n/a

LONG BEACH, CA | Torrance, CA

n/a

Christian Luke Fermin

n/a

LONG BEACH, CA

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARR, ELIZABETH, ANN

CHIEF COMPLIANCE OFFICER

yes

09/2016

Aug 3, 2026

CLG HOLDING COMPANY, LLC

MANAGING MEMBER

yes

09/2016

Aug 3, 2026

CARR, ELIZABETH, ANN

Partner

08/2016

Sep 9, 2016

Dec 4, 2024

CARTWRIGHT, JANICE, GIBSON

Partner

08/2016

Sep 22, 2023

Dec 4, 2024

CARTWRIGHT, JOHN, DAVID

Partner

08/2016

Sep 22, 2023

Dec 4, 2024

ECKENRODE, PAMELA, CARTWRIGHT

Partner

08/2016

Sep 22, 2023

Dec 4, 2024

EHMANN, KURT, ROBERT

Partner

08/2016

Sep 22, 2023

Dec 4, 2024

EHMANN, SARAH, CARTWRIGHT

Partner

08/2016

Sep 22, 2023

Dec 4, 2024

City

State

Country

Employees

Also broker-dealer

Cerritos

United States

yes

Murrieta

United States

yes

n/a

yes

Torrance

United States

yes

Ukiah

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 9, 2026

$1.1B

n/a

2024

Feb 19, 2025

$954M

$933M

n/a

2023

Jan 29, 2024

$801M

$781M

n/a

2022

Feb 24, 2023

$453M

$439M

n/a

2021

Feb 3, 2022

$465M

$407M

n/a

2020

Mar 12, 2021

$359M

$254M

n/a

2019

Mar 19, 2020

$291M

$234M

n/a

2018

Mar 22, 2019

$163M

$123M

n/a

2017

Feb 27, 2018

$120M

$77.5M

n/a

2016

Jan 27, 2017

$2.7M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.1B

$954M

17.8%

$453M

35.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

May 1, 2018

GARDENA, CA

Team lift out

RIA to RIA

13.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CETERA INVESTMENT ADVISERS LLC

Dec 31, 2023

Jan 16, 2026

LONG BEACH, CA

Team lift out

Ibd to RIA

0.2%

CETERA ADVISOR NETWORKS LLC

Jun 29, 2023

Feb 27, 2018

LONG BEACH, CA

Team lift out

Ibd to RIA

2.6%