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.
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SEC-registered adviser
C•••••••• C••••••
Legal name C•••••••• C••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Aug 5, 2025 · 3 filings
SEC status approved since Aug 5, 2025
RAUM
$359M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
84%
$302M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$359M as of Mar 5, 2026
Aug 5, 2025$0 then
HNW client RAUM$233M as of Mar 5, 2026
Nov 12, 2025$263M then
State-registered IARs (5.B.3)3 as of Mar 5, 2026
Aug 5, 20253 then
Employees (5.A)3 as of Mar 5, 2026
Aug 5, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 5, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $473,899derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $28.2M, 13 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$233M65%
- Individuals$68.8M19%
- Corporations and businesses$57.1M16%
- Individual clients
- 233reported
- HNW clients
- 72reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 758reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.2M for 13 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• C••••••••• C••••••••• | Upland, Ca | Aug 7, 2025 | 13 y | 1 |
| P•••• L•••• V••• | Upland, Ca | Sep 3, 2025 | 28 y | 1 |
| G•••••• B••••••• C••••••••• | Upland, Ca | Sep 3, 2025 | 32 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- P•••• L•••• V••• from C••••••••• F•••••••• N••••••Sep 3, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- G•••••• B••••••• C••••••••• from C••••••••• F•••••••• N••••••Sep 3, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- C•••• C••••••••• C••••••••• from A••••••••• L•••Aug 7, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••••••• F•••••••• N••••••Sep 2, 2025 · Fontana, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• C••••• C••••••••• · Managing Partner, Ccocontrolsince 08/2025 · owns 25% to 50%
- C••••••••• G••••••• B••••••• · Managing Partner, Advisorcontrolsince 08/2025 · 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 | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Upland, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 921 to 758Nov 12, 2025 to Mar 5, 2026
- Corporate clients · 14 to 9Nov 12, 2025 to Mar 5, 2026
- HNW clients · 178 to 72Nov 12, 2025 to Mar 5, 2026
- Individual clients · 208 to 233Nov 12, 2025 to Mar 5, 2026
- Assets in custody · $40.2M to $28.2MNov 12, 2025 to Mar 5, 2026
- Discretionary RAUM · $306M to $327MNov 12, 2025 to Mar 5, 2026
- HNW RAUM · $263M to $233MNov 12, 2025 to Mar 5, 2026
- Individual RAUM · $44.7M to $68.8MNov 12, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $69.3M to $31.9MNov 12, 2025 to Mar 5, 2026
- RAUM · $375M to $359MNov 12, 2025 to Mar 5, 2026
- Accounts · 0 to 921Aug 5, 2025 to Nov 12, 2025
- Corporate clients · unset to 14.0Aug 5, 2025 to Nov 12, 2025
- HNW clients · unset to 178.0Aug 5, 2025 to Nov 12, 2025
- Individual clients · unset to 208.0Aug 5, 2025 to Nov 12, 2025
- Assets in custody · unset to 40186175.0Aug 5, 2025 to Nov 12, 2025
- Custody of client assets · false to trueAug 5, 2025 to Nov 12, 2025
- Financial planning clients · 0 to 0Aug 5, 2025 to Nov 12, 2025
- Discretionary RAUM · $0 to $306MAug 5, 2025 to Nov 12, 2025
- HNW RAUM · unset to 263177735.0Aug 5, 2025 to Nov 12, 2025
- Individual RAUM · unset to 44685368.0Aug 5, 2025 to Nov 12, 2025
- Non-discretionary RAUM · $0 to $69.3MAug 5, 2025 to Nov 12, 2025
- RAUM · $0 to $375MAug 5, 2025 to Nov 12, 2025
Signals
1 dated events
- 2 advisors left C••••••••• F•••••••• N•••••• (Fontana, CA) for C•••••••• C•••••• on the same daySep 2, 2025 · Team lift-out · 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
- Business email
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 909-949-9446reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/clearwave-capitalreportedpublic record, Form ADV, Sep 19, 2026
- Website
- C••••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 909-949-9446reportedpublic record, Form ADV, Mar 5, 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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026