{"url":"https://nivawealth.com/firms/c-l-sheldon-and-company-152582","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/152582","regulatoryAum":110683215,"crd":"152582","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6518145","suffix":null,"lastName":"PEASLEY","firstName":"TONIA","middleName":"MARIE"},{"crd":"5831786","suffix":null,"lastName":"SHELDON","firstName":"CURTIS","middleName":"LEE"},{"crd":"8218162","suffix":null,"lastName":"WEST","firstName":"TYLER","middleName":"BRADLEY"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-136786","legalName":"C.L. Sheldon & Company, LLC","displayName":"C.L. Sheldon & Company","slug":"c-l-sheldon-and-company-152582","website":"https://clsheldon.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/c-l-sheldon-company-llc","xUrl":"https://twitter.com/curt_sheldon","founded":null,"organization":"Virginia limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"17 July 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":802052.2826086957,"staff":{"employees":10,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":110683215,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":110683215,"nonDiscretionaryAccounts":138,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":3},"clientTypes":[{"label":"Individuals (other than HNW)","clients":104,"regulatoryAum":43287930},{"label":"High-net-worth individuals","clients":34,"regulatoryAum":67395285}],"feePrograms":[{"role":"other","program":"Financial coaching","summary":"Monthly financial coaching fees start at $250 and are paid in arrears.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048898","versionId":1048898,"submittedOn":"2026-06-18","documentName":"ADV PARTS 2A AND 2B"},{"role":"other","program":"Stand-alone financial planning and consulting","summary":"Stand-alone financial planning and consulting is negotiable, generally $250 an hour for the lead planner and $150 an hour for other staff.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048898","versionId":1048898,"submittedOn":"2026-06-18","documentName":"ADV PARTS 2A AND 2B"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:03:24.910885+00:00","documents":[{"name":"ADV PARTS 2A AND 2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048898","versionId":1048898,"submittedOn":"2026-06-18"}]},"custodians":[{"name":"Altruist Financial LLC","shortName":"Altruist","location":"San Diego, CA","smaAssets":76576077}],"custodyNote":"C.L. Sheldon & Company does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Curtis Sheldon","title":"Managing Member / President / Chief Compliance Officer","crd":"5831786"}],"ownership":[{"label":"Curtis Sheldon","detail":"Managing member / president / chief compliance officer in the 75% or more ownership band and a control person, since September 2009."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":2},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"9901 Ih 10 West","city":"San Antonio"}]},{"state":"Virginia","offices":1,"addresses":[{"street":"1800 Diagonal Road","city":"Alexandria"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"703-542-4000","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"101-250","assetMix":[{"label":"Securities issued by registered investment companies or business development companies","percent":87},{"label":"Cash and cash equivalents","percent":13}],"privateFunds":0},"sources":{"adv1FilingDate":"18 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/152582/PDF/152582.pdf","brochureDate":"18 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048898","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does C.L. Sheldon & Company have?","answer":"C.L. Sheldon & Company has 138 clients and manages $111 million for them, as of June 2026. They include 104 individual clients and 34 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does C.L. Sheldon & Company offer?","answer":"C.L. Sheldon & Company provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does C.L. Sheldon & Company use?","answer":"C.L. Sheldon & Company’s separately managed account assets are held at Altruist Financial LLC (San Diego, CA), with $76.6M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does C.L. Sheldon & Company have?","answer":"C.L. Sheldon & Company has 3 investment adviser representatives registered with state securities authorities, out of 10 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does C.L. Sheldon & Company invest in?","answer":"At the end of its last fiscal year, C.L. Sheldon & Company’s separately managed accounts held 87% registered funds (mutual funds, ETFs, BDCs) and 13% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns C.L. Sheldon & Company?","answer":"C.L. Sheldon & Company’s direct owner is Curtis Sheldon (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 18 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does C.L. Sheldon & Company get paid?","answer":"C.L. Sheldon & Company is paid through hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact C.L. Sheldon & Company?","answer":"Its phone number is 703-542-4000. Its website is clsheldon.com.","source":"Form ADV Part 1A, Item 1.F, filed 18 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}