DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Clearwater Capital Partners
Legal name Clearwater Capital Advisors, LLC
Latest filing May 11, 2026
First filing on the tape Mar 28, 2012 · 48 filings
SEC status approved since Jan 4, 2010
RAUM
$1.7B
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
77%
$1.3B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
23
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$1.7B as of May 11, 2026
Mar 28, 2012$101M then
HNW client RAUM$1.1B as of May 11, 2026
Mar 26, 2018$319M then
State-registered IARs (5.B.3)14 as of May 11, 2026
Mar 28, 20120 then
Employees (5.A)23 as of May 11, 2026
Mar 22, 201313 then
Private funds: no history
RAUM +13% over the last fiscal year+17% a year over threeIARs 14 to 14
Practice profile
derived from the filing of May 11, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $601,970derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 15.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Wrap fee program
- $2.8BreportedItem 5.I
- Custody
- $583M, 407 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B65%
- Pension and profit-sharing plans$287M17%
- Individuals$193M11%
- Corporations and businesses$57.7M3.4%
- Charitable organizations$50.0M3.0%
- Individual clients
- 579reported
- HNW clients
- 310reported
- Pension plan clients
- 96reported
- Charitable clients
- 27reported
- Accounts
- 2,793reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- $1.4B sponsored, $1.4B managedreported
- Custody of client assets
- $583M for 407 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.2 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Edward Chapman | Hoffman Estates, Il | Jun 1, 2006 | 42 y | 3 |
| Alan Rodney Krause | Hoffman Estates, Il | Mar 27, 2008 | 37 y | 0 |
| John William Sleeting | Hoffman Estates, Il | Mar 10, 2009 | 17 y | 0 |
| Jeffrey Paul DehaanCertified Financial Planner | Hoffman Estates, Il | Jan 11, 2010 | 16 y | 0 |
| Tyler James BeachlerChartered Financial Analyst | Hoffman Estates, Il | Aug 17, 2012 | 14 y | 0 |
| James Foster Chapman | Hoffman Estates, Il | Jun 26, 2014 | 12 y | 0 |
| Kevin G Carani | Hoffman Estates, Il | Jan 16, 2015 | 11 y | 0 |
| Gregory W DavisCertified Financial Planner | Hoffman Estates, Il | Aug 31, 2015 | 11 y | 0 |
| Hunter J Sims | Hoffman Estates, Il | Mar 12, 2021 | 11 y | 0 |
| Melissa Jean Dailey | Hoffman Estates, Il | Oct 9, 2021 | 26 y | 1 |
| Jacob Matthew Clark | Hoffman Estates, Il | Nov 16, 2023 | 10 y | 0 |
| Valerie Neff Hogan | Hoffman Estates, Il | Mar 27, 2024 | 16 y | 0 |
| Carter King | Hoffman Estates, Il | Sep 25, 2025 | 13 y | 0 |
| Kevin Joseph Rochford | Hoffman Estates, Il | Jan 16, 2026 | 25 y | 1 |
| Randolph T Yu | Hoffman Estates, Il | Aug 31, 2026 | 11 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- Joshua Marc Beachler to Goldstone Financial Group, LLCJun 27, 2025 · RIA to RIA
- Kathleen Marie Oconnor to Rmr Wealth Builders, Inc.Jun 10, 2025 · RIA to RIA
- Steven Dewayne Garrels to 1st Global Advisors IncNov 30, 2016 · Other
- Pauline Joy Staab to 1st Global Advisors IncNov 30, 2016 · Other
- William Andrew Karsten to PlanpilotJan 6, 2014 · Other
Joined, latest
- Kevin Joseph Rochford from Alliancebernstein L.P.Jan 16, 2026 · Other
- Kathleen Marie Oconnor from Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 10, 2023 · Wirehouse to independent RIA
- Melissa Jean Dailey from American Century Advisory Services, Inc.Oct 9, 2021 · Other
- Joshua Marc Beachler from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 22, 2019 · Wirehouse to independent RIA
- John Edward Chapman from LPL Financial LLCJun 1, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for 1st Global Advisors IncNov 30, 2016 · Hoffman Estates, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Edward John Chapman · Chief Executive Officercontrolsince 03/2006 · owns less than 5%
- Paul Jeffrey Dehaan · Chief Compliance Officercontrolsince 03/2013 · owns less than 5%
- Rodney Alan Krause · Chief Financial Officercontrolsince 03/2006 · owns less than 5%
- William John Sleeting · Chief Operating Officercontrolsince 07/2018 · owns 5% to 10%
- Edward John Chapman · Managing Membercontrolsince 05/2017 · owns 25% to 50% of Clearwater Capital Partners, LLC
- Paul Jeffrey Dehaan · Membercontrolsince 05/2021 · owns F of Clearwater Capital Partners, LLC
- Rodney Alan Krause · Membercontrolsince 05/2017 · owns F of Clearwater Capital Partners, LLC
- William John Sleeting · Membercontrolsince 05/2021 · owns F of Clearwater Capital Partners, LLC
- J Heather Larson · Elected Managersince 01/2023 · owns F of Clearwater Capital Partners, LLC
Entity owners
- Clearwater Capital Partners, LLC · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- Clearwater Capital Accounting Services, LLCinsurancen
- Clearwater Capital Consulting, LLCinsurancen
- Clearwater Capital Insurance Services, LLCreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hoffman Estates, Il · principal | 15 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 11, 2026KRAUSE, ALAN, RODNEY (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-03-27 and 2026-05-11peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 2,653 to 2,793Dec 3, 2025 to Mar 30, 2026
- Advisory employees · 14 to 15Dec 3, 2025 to Mar 30, 2026
- Charity clients · 23 to 27Dec 3, 2025 to Mar 30, 2026
- Corporate clients · 23 to 29Dec 3, 2025 to Mar 30, 2026
- HNW clients · 267 to 310Dec 3, 2025 to Mar 30, 2026
- Individual clients · 589 to 579Dec 3, 2025 to Mar 30, 2026
- Pension plan clients · 105 to 96Dec 3, 2025 to Mar 30, 2026
- Assets in custody · $458M to $583MDec 3, 2025 to Mar 30, 2026
- Employees · 22 to 23Dec 3, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.2B to $1.4BDec 3, 2025 to Mar 30, 2026
- HNW RAUM · $911M to $1.1BDec 3, 2025 to Mar 30, 2026
- Individual RAUM · $198M to $193MDec 3, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $265M to $260MDec 3, 2025 to Mar 30, 2026
- Pension RAUM · $290M to $287MDec 3, 2025 to Mar 30, 2026
- RAUM · $1.5B to $1.7BDec 3, 2025 to Mar 30, 2026
- Wrap assets (manager) · $1.2B to $1.4BDec 3, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · $1.2B to $1.4BDec 3, 2025 to Mar 30, 2026
- Accounts · 2,482 to 2,653Nov 27, 2024 to Mar 28, 2025
- Advisory employees · 12 to 14Nov 27, 2024 to Mar 28, 2025
- Charity clients · 17 to 23Nov 27, 2024 to Mar 28, 2025
- Corporate clients · 29 to 23Nov 27, 2024 to Mar 28, 2025
- HNW clients · 218 to 267Nov 27, 2024 to Mar 28, 2025
- Individual clients · 603 to 589Nov 27, 2024 to Mar 28, 2025
- Pension plan clients · 75 to 105Nov 27, 2024 to Mar 28, 2025
- Assets in custody · $335M to $458MNov 27, 2024 to Mar 28, 2025
- Employees · 18 to 22Nov 27, 2024 to Mar 28, 2025
- Financial planning clients · More than 500 to More than 500Nov 27, 2024 to Mar 28, 2025
- State-registered IARs · 13 to 14Nov 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.0B to $1.2BNov 27, 2024 to Mar 28, 2025
- HNW RAUM · $726M to $911MNov 27, 2024 to Mar 28, 2025
- Individual RAUM · $205M to $198MNov 27, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $204M to $265MNov 27, 2024 to Mar 28, 2025
- Pension RAUM · $228M to $290MNov 27, 2024 to Mar 28, 2025
- RAUM · $1.2B to $1.5BNov 27, 2024 to Mar 28, 2025
- Wrap assets (manager) · $1.0B to $1.2BNov 27, 2024 to Mar 28, 2025
- Wrap assets (sponsor) · $1.0B to $1.2BNov 27, 2024 to Mar 28, 2025
- Accounts · 2,348 to 2,482Jan 5, 2024 to Mar 27, 2024
- Charity clients · 15 to 17Jan 5, 2024 to Mar 27, 2024
- Corporate clients · 25 to 29Jan 5, 2024 to Mar 27, 2024
- HNW clients · 228 to 218Jan 5, 2024 to Mar 27, 2024
Signals
5 dated events
- Joshua Marc Beachler left Clearwater Capital Partners for Goldstone Financial Group, Llc (registered 2025-10-02)Jun 27, 2025 · Advisor changed firm · fact
- Kathleen Marie Oconnor left Clearwater Capital Partners for Rmr Wealth Builders, Inc. (registered 2025-06-11)Jun 10, 2025 · Advisor changed firm · fact
- George Leonard Borhart (Director) no longer on Schedule A of Clearwater Capital Partners (listed 2022-11-01, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- William John Sleeting (Chief Operating Officer) appeared on Schedule A of Clearwater Capital PartnersMar 29, 2019 · Control person joined · fact
- Clearwater Capital Partners reported RAUM $605.3M, up 25% from $482.4M (2017-11-17 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/CCPWEALTHreportedpublic record, Form ADV, Sep 17, 2026
- Website
- lifeintegrated.blogreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 847-841-8650reportedpublic record, Form ADV, May 11, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026