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

Clg LLC

Independent wealth managerLong Beach, CaliforniaCRD 282605SEC 801-108414website IAPD

Latest filing Aug 3, 2026

First filing on the tape Sep 9, 2016 · 46 filings

SEC status approved since Sep 29, 2016

RAUM

$1.1B

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

98%

$1.1B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$48.9M

derived; firm RAUM over IAPD count

Employees

23 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

46 filings and snapshots on the tape

RAUM$1.1B as of Aug 3, 2026

Jan 27, 2017$2.7M then

HNW client RAUM$840M as of Aug 3, 2026

Feb 27, 2018$80.1M then

State-registered IARs (5.B.3)23 as of Aug 3, 2026

Jan 27, 20176 then

Employees (5.A)35 as of Aug 3, 2026

Jan 27, 20176 then

Private funds: no history

RAUM +18% over the last fiscal year+35% a year over threeIARs 22 to 23offices 5 to 4

Practice profile

derived from the filing of Aug 3, 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

RAUM per advisor: $48.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 62derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.2MderivedHNW RAUM over HNW clients
Average account: $405,515derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 4.6derived5 offices incl. principal (1.F.5)
RAUM growth, one year: +18%derivedbetween the last two annual amendments
Advisor growth, one year: +4.5%derivedItem 5.B.3 between annual amendments
Client growth, one year: +3.5%derived
Compensation: percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody: $111M, 75 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$840M75%
Individuals$261M23%
Corporations and businesses$17.8M1.6%
Pension and profit-sharing plans$2.4M0.2%
Charitable organizations$2.3M0.2%

Individual clients: 745reported
HNW clients: 689reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2,771reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $111M for 75 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=12.0derived

Advisors registered through the firm

23 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Kurt Robert Ehmann	Long Beach, Ca	Dec 27, 2016	23 y	2
Michael Louis Bishop	Murrieta, Ca	Dec 27, 2016	30 y	2
Eric Van Anspach	Long Beach, Ca	Dec 27, 2016	14 y	2
Connor Christopher Campbell	Long Beach, Ca	Jan 26, 2017	10 y	2
Dennis C Smith	Long Beach, Ca	Jan 30, 2017	27 y	2
David Charles NeffCertified Financial Planner	Cerritos, Ca	Jan 30, 2017	29 y	2
Gerald E MitchellCertified Financial Planner	Long Beach, Ca	Feb 16, 2017	11 y	2
Elizabeth Cartwright Carr	Long Beach, Ca	Feb 16, 2017	31 y	2
John David Cartwright	Long Beach, Ca	Feb 16, 2017	31 y	3
Sarah Cartwright Ehmann	Long Beach, Ca	Feb 16, 2017	28 y	2
Kenneth Scott LeeCertified Financial Planner	Long Beach, Ca	Mar 25, 2017	31 y	3
Bryan Anthony Hernandez	Long Beach, Ca	Feb 27, 2018	13 y	2
Elizabeth Anne McelraveyCertified Financial Planner	Long Beach, Ca	Jul 26, 2023	35 y	2
Robert Harold Sowder	Torrance, Ca	Sep 13, 2023	30 y	5
Richard Peter MoranCertified Financial Planner	Torrance, Ca	Sep 26, 2023	52 y	2
Jon Wayne BemisCertified Financial Planner	Long Beach, Ca	Sep 28, 2023	34 y	2
Alice Clara-Mae Amick	Whittier, Ca	Sep 28, 2023	13 y	2
Robert Michael Koerner	Long Beach, Ca	Dec 15, 2023	35 y	2
Kimberley Kasarda Neff	Whittier, Ca	Jan 1, 2025	28 y	2
Pamela Cartwright Eckenrode	Long Beach, Ca	Jan 1, 2025	30 y	2
Paul Francis HeisingCertified Financial Planner	Long Beach, Ca	Jan 3, 2025	24 y	2
Melissa Andrizzi-Sobel	Long Beach, Ca	Apr 15, 2025	10 y	0
Christian Luke Fermin	Long Beach, Ca	Jan 16, 2026	11 y	2

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 headcount1 left over 36 months

Left, latest

Dale Bruce Eichman to Cetera Investment Advisers LLC
Jan 5, 2024 · RIA to affiliated broker-dealer or bank
Ian M Grove to Robert Green & Company
Jul 6, 2021 · Other
Michael Thomas Mcdaid to Cetera Advisor Networks LLC
Jul 1, 2020 · RIA to affiliated broker-dealer or bank
Harry Martin Kitter to LPL Financial LLC
May 1, 2018 · RIA to RIA
Alison K Sabran to LPL Financial LLC
May 1, 2018 · RIA to RIA
Jemuel M Abarientos to Merrill Lynch, Pierce, Fenner & Smith Incorporated
Dec 14, 2017 · RIA to wirehouse

Joined, latest

Christian Luke Fermin from Cetera Investment Advisers LLC
Jan 16, 2026 · Affiliated broker-dealer or bank to independent RIA
Paul Francis Heising from Cetera Investment Advisers LLC
Jan 3, 2025 · Affiliated broker-dealer or bank to independent RIA
Pamela Cartwright Eckenrode from Cetera Investment Advisers LLC
Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
Kimberley Kasarda Neff from Cetera Investment Advisers LLC
Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
Robert Michael Koerner from Cetera Investment Advisers LLC
Dec 15, 2023 · Affiliated broker-dealer or bank to independent RIA
Alice Clara-Mae Amick from Cetera Investment Advisers LLC
Sep 28, 2023 · Affiliated broker-dealer or bank to independent RIA
Jon Wayne Bemis from Cetera Investment Advisers LLC
Sep 28, 2023 · Affiliated broker-dealer or bank to independent RIA
Richard Peter Moran from Cetera Investment Advisers LLC
Sep 26, 2023 · Affiliated broker-dealer or bank to independent RIA
Robert Harold Sowder from Cetera Investment Advisers LLC
Sep 13, 2023 · Affiliated broker-dealer or bank to independent RIA
Elizabeth Anne Mcelravey from Cetera Investment Advisers LLC
Jul 26, 2023 · Affiliated broker-dealer or bank to independent RIA
Ian M Grove from Mantis Financial Partners, Inc.
Feb 27, 2020 · Other
Michael Thomas Mcdaid from Td Ameritrade Investment Management, LLC
Dec 18, 2019 · RIA to RIA
Bryan Anthony Hernandez from Cetera Advisor Networks LLC
Feb 27, 2018 · Affiliated broker-dealer or bank to independent RIA
Alison K Sabran from Ep Wealth Advisors
Apr 11, 2017 · Other
Kenneth Scott Lee from Cetera Advisor Networks LLC
Mar 25, 2017 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for LPL Financial LLC
May 1, 2018 · Gardena, Ca

10 joined from Cetera Investment Advisers LLC
Dec 31, 2023 · Long Beach, Ca
10 joined from Cetera Advisor Networks LLC
Jun 29, 2023 · Long Beach, Ca

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Ann Elizabeth Carr · Chief Compliance Officercontrol
since 09/2016 · owns less than 5%
Ann Elizabeth Carr · Partner
since 08/2016 · owns F of Clg Holding Company, LLC
Gibson Janice Cartwright · Partner
since 08/2016 · owns F of Clg Holding Company, LLC
David John Cartwright · Partner
since 08/2016 · owns F of Clg Holding Company, LLC
Cartwright Pamela Eckenrode · Partner
since 08/2016 · owns F of Clg Holding Company, LLC
Robert Kurt Ehmann · Partner
since 08/2016 · owns F of Clg Holding Company, LLC
Cartwright Sarah Ehmann · Partner
since 08/2016 · owns F of Clg Holding Company, LLC

Entity owners

Clg Holding Company, LLC · Managing Member
direct · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined
Long Beach, Ca · principal	23	1
Torrance, Ca	5	0
Murrieta, Ca	2	0
Whittier, Ca	2	0

Offices

Schedule D 1.F, the 25 largest

Cerritos, CA2 employees
Murrieta, CA2 employees
, 2 employees
Torrance, CA1 employees
Ukiah, CA1 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

employee count surgeChange between filings · filing Feb 9, 2026
employees (Item 5.A) moved from 22.0 to 35.0 (+59.0%) between the annual amendments of 2025-02-19 and 2026-02-09; the peer median change was +4.0% (1050 comparable advisers, 97.0th percentile of changes)
peers: independent wealth managers, $1B to $5B (1,050) · 97% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 2,539 to 2,771
Dec 22, 2025 to Feb 9, 2026
Advisory employees · 20 to 23
Dec 22, 2025 to Feb 9, 2026
Corporate clients · 17 to 14
Dec 22, 2025 to Feb 9, 2026
HNW clients · 698 to 689
Dec 22, 2025 to Feb 9, 2026
Individual clients · 688 to 745
Dec 22, 2025 to Feb 9, 2026
Assets in custody · $104M to $111M
Dec 22, 2025 to Feb 9, 2026
Employees · 22 to 35
Dec 22, 2025 to Feb 9, 2026
State-registered IARs · 22 to 23
Dec 22, 2025 to Feb 9, 2026
Discretionary RAUM · $933M to $1.1B
Dec 22, 2025 to Feb 9, 2026
HNW RAUM · $721M to $840M
Dec 22, 2025 to Feb 9, 2026
Individual RAUM · $210M to $261M
Dec 22, 2025 to Feb 9, 2026
Non-discretionary RAUM · $20.8M to $19.9M
Dec 22, 2025 to Feb 9, 2026
Pension RAUM · $2.7M to $2.4M
Dec 22, 2025 to Feb 9, 2026
RAUM · $954M to $1.1B
Dec 22, 2025 to Feb 9, 2026
Financial planning clients · 0 to 0
Jul 8, 2025 to Nov 3, 2025
Other offices · 5 to 4
Jul 8, 2025 to Nov 3, 2025
Accounts · 2,282 to 2,539
Dec 4, 2024 to Feb 19, 2025
Advisory employees · 25 to 20
Dec 4, 2024 to Feb 19, 2025
Advisory activities · 4 to 5
Dec 4, 2024 to Feb 19, 2025
BD registered reps · 19 to 12
Dec 4, 2024 to Feb 19, 2025
Corporate clients · 14 to 17
Dec 4, 2024 to Feb 19, 2025
HNW clients · 610 to 698
Dec 4, 2024 to Feb 19, 2025
Individual clients · 653 to 688
Dec 4, 2024 to Feb 19, 2025
Assets in custody · $103M to $104M
Dec 4, 2024 to Feb 19, 2025
Employees · 26 to 22
Dec 4, 2024 to Feb 19, 2025
State-registered IARs · 23 to 22
Dec 4, 2024 to Feb 19, 2025
Discretionary RAUM · $781M to $933M
Dec 4, 2024 to Feb 19, 2025
HNW RAUM · $585M to $721M
Dec 4, 2024 to Feb 19, 2025
Individual RAUM · $191M to $210M
Dec 4, 2024 to Feb 19, 2025
Non-discretionary RAUM · $19.8M to $20.8M
Dec 4, 2024 to Feb 19, 2025
Pension RAUM · $1.9M to $2.7M
Dec 4, 2024 to Feb 19, 2025
RAUM · $801M to $954M
Dec 4, 2024 to Feb 19, 2025
Accounts · 1,338 to 2,282
Jan 5, 2024 to Jan 29, 2024
Advisory employees · 22 to 25
Jan 5, 2024 to Jan 29, 2024
BD registered reps · 24 to 19
Jan 5, 2024 to Jan 29, 2024
Corporate clients · 2 to 14
Jan 5, 2024 to Jan 29, 2024
HNW clients · 200 to 610
Jan 5, 2024 to Jan 29, 2024
Individual clients · 444 to 653
Jan 5, 2024 to Jan 29, 2024
Assets in custody · $92.1M to $103M
Jan 5, 2024 to Jan 29, 2024
Employees · 24 to 26
Jan 5, 2024 to Jan 29, 2024

Signals

7 dated events

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

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

Business email: info@clgwm.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: christian@clgwm.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: jon@clgwm.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ken@clgwm.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: kim@clgwm.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: pam@clgwm.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 310-329-5150reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 310-217-9274reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 800-998-3642reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: LINKEDIN.COM/COMPANY/CARTWRIGHT-LEGACY-GROUPreportedpublic record, Form ADV, Sep 17, 2026
Website: CLGWM.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: (310) 329-5150reportedpublic record, Form ADV, Aug 3, 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: $48.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026