Wealth manager, independent · Long Beach, CA
CLG LLC
SEC-registered investment adviser · CRD 282605 · SEC 801-108414
At a glance
CLG LLC is an SEC-registered investment adviser based in Long Beach, California, with $1.1B in regulatory assets under management as of its Form ADV filed August 3, 2026. It reports 1,434 individual clients, 689 of them high-net-worth, holding an average of about $0.8 million each, and 35 employees. That ranks it 978th among the nation’s 5,657 independent wealth management RIAs and 115th of 714 in California. It reports Fidelity as the custodian for its clients’ separately managed accounts.
Main office 310-329-5150clgwm.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.1B
- Rank among independent wealth managers
- #978 of 5,657
- Rank among all SEC RIAs
- #5,028 of 17,210
- Rank in California
- #115 of 714
- Individual clients
- 1,434
- High-net-worth clients
- 689
- Accounts
- 2,771
- Discretionary
- 98% of AUM
- Employees
- 35
- Advisory staff
- 23
- Offices
- 5
Owners and executives on its Form ADV
- Elizabeth A. CarrChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
CLG LLC is a hybrid RIA: 12 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
Its Form ADV brochure (filed August 2026) names Purshe Kaplan Sterling Investments as the broker-dealer its advisers are registered with.
Commissionable Securities Sales Some r epresentatives of our firm are registered representatives of Purshe Kaplan Sterling Investments, Inc.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 689 | $840M | 75% |
| Individuals | 745 | $261M | 23% |
| Corporations or other businesses | 14 | $18M | 2% |
| Pension and profit sharing plans | – | $2M | <1% |
| Charitable organizations | – | $2M | <1% |
Disciplinary disclosures
CLG LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗clgwm.com ↗
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The full record on CLG LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 9 years of filings
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- Growth over one, three and five years
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- Rank against 3,241 peers of its type and size
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- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in California
All of California →| Firm | Regulatory AUM | Clients |
|---|---|---|
| L & S Advisors, IncLOS Angeles | $1.2B | 1,054 |
| Atlas Capital Advisors Inc.SAN Francisco | $1.1B | 137 |
| Ignite Planners LLCSAN Clemente | $1.1B | 4,605 |
| Vantage Wealth Management, LLCSAN Mateo | $1.1B | 635 |
| Fiduciary Financial Group, LLCSAN Rafael | $1.1B | 412 |
| Knightsbridge Wealth ManagementNewport Beach | $1.1B | 517 |
Background
Questions
How much does CLG LLC manage?
CLG LLC reports $1.1B in regulatory assets under management across 2,771 accounts, 98% of it on a discretionary basis, on its Form ADV filed August 3, 2026.
How many clients does CLG LLC have?
It reports 1,434 individual clients: 689 high-net-worth individuals and 745 other individuals. Individuals account for about 98% of its regulatory assets.
Where is CLG LLC headquartered?
Its main office is in Long Beach, California. It reports 5 offices in total and 35 employees, 23 of whom perform investment advisory functions.
How does CLG LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees; other. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does CLG LLC use?
It reports Fidelity as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed August 3, 2026, it reports these amounts held: Fidelity ($1.1B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is CLG LLC a hybrid RIA with a broker-dealer?
CLG LLC is a hybrid RIA: 12 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is CLG LLC a fiduciary?
As an SEC-registered investment adviser, CLG LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 12 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is CLG LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-03), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →