CLG LLC
Adviser information for CLG LLC last updated from Form ADV on March 1st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 26 |
|---|---|
| Investment Advisory/Research | 25 |
| Registered Broker-Dealer Representatives | 19 |
| Registered State Investment Advisers | 23 |
| Licensed Agents of an Insurance Company | 22 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,225 | $780.8M |
| Non-Discretionary | 57 | $19.8M |
| Total | 2,282 | $800.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 653 | $190.8M |
| HNW Individuals | 610 | $584.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $1.9M |
| Charitable organizations | <5 | $2.0M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 14 | $21.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-108414 |
|---|---|
| SEC ERA File Number | 801-108414 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282605 |
| Legal Entity Identifier | None |
Principal Office
4821 E 2ND STREETLONG BEACH
CA
United States
Monday - Friday, 8:30AM TO 5:00PM
Tel: (310) 329-5150, Fax: (310) 217-9274
Chief Compliance Officer
ELIZABETH C. CARR
MANAGING MEMBER
4821 E 2ND STREET
LONG BEACH
CA
United States
Tel:
(310) 329-5150
Fax:
(310) 217-9274
B***@********M
(Full email address available in API data)
Regulatory Contact
SARAH EHMANN
PARTNER
4821 E 2ND STREET
LONG BEACH
CA
United States
Tel:
310-329-5150
S****@********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CLG HOLDING COMPANY, LLC | Domestic Entity | – | MANAGING MEMBER | 09/2016 | > 75% |
| CARR, ELIZABETH, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2016 | < 5% |
| CARTWRIGHT, JOHN, DAVID | Individual | CLG HOLDING COMPANY, LLC | PARTNER | 08/2016 | |
| CARTWRIGHT, JANICE, GIBSON | Individual | CLG HOLDING COMPANY, LLC | PARTNER | 08/2016 | |
| CARR, ELIZABETH, ANN | Individual | CLG HOLDING COMPANY, LLC | PARTNER | 08/2016 | |
| ECKENRODE, PAMELA, CARTWRIGHT | Individual | CLG HOLDING COMPANY, LLC | PARTNER | 08/2016 | |
| EHMANN, KURT, ROBERT | Individual | CLG HOLDING COMPANY, LLC | PARTNER | 08/2016 | |
| EHMANN, SARAH, CARTWRIGHT | Individual | CLG HOLDING COMPANY, LLC | PARTNER | 08/2016 |