{"url":"https://nivawealth.com/firms/clp-asset-management-305962","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/305962","regulatoryAum":173842000,"crd":"305962","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5899228","suffix":null,"lastName":"LUFF","firstName":"JOSHUA","middleName":null}],"total":1,"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"},"history":[{"filedOn":"2021-07-29","regulatoryAum":106232276,"clients":6,"employees":1,"offices":1},{"filedOn":"2022-04-28","regulatoryAum":140195400,"clients":6,"employees":1,"offices":1},{"filedOn":"2023-02-13","regulatoryAum":130300000,"clients":6,"employees":1,"offices":1},{"filedOn":"2024-03-19","regulatoryAum":140280000,"clients":6,"employees":1,"offices":1},{"filedOn":"2025-03-20","regulatoryAum":127700000,"clients":6,"employees":1,"offices":1},{"filedOn":"2026-08-11","regulatoryAum":173842000,"clients":6,"employees":1,"offices":1}],"secFileNumber":"801-121850","legalName":"CLP Asset Management, LLC","displayName":"CLP Asset Management","slug":"clp-asset-management-305962","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"26 July 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":28973666.666666668,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":173842000,"discretionary":173842000,"discretionaryAccounts":92,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":6,"regulatoryAum":173842000}],"feePrograms":[{"role":"main","program":"Asset Management","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054508","versionId":1054508,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-08-11","documentName":"CLP ADV PART 2A AND 2B","fee_rate_low":null,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:28:16.370331+00:00","documents":[{"name":"CLP ADV PART 2A AND 2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054508","versionId":1054508,"submittedOn":"2026-08-11"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":108791000}],"custodyNote":"CLP Asset Management has custody of $52.1M for 3 clients.","otherCustodians":[],"leadership":[{"name":"Richard Losiniecki","title":"Member","crd":"7183094"},{"name":"Joshua Luff","title":"Managing Member / CCO","crd":"5899228"},{"name":"Jonathan Thiel","title":"Member","crd":"7183084"}],"ownership":[{"label":"Joshua Luff","detail":"Managing member / cco in the 25% to 50% ownership band and a control person, since September 2019."},{"label":"Jonathan Thiel","detail":"Member in the 25% to 50% ownership band, since September 2019."},{"label":"Richard Losiniecki","detail":"Member in the 25% to 50% ownership band, since September 2019."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"630-272-6321","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":17},{"label":"U.S. government/agency bonds","percent":16},{"label":"U.S. state and local bonds","percent":1},{"label":"Derivatives","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":29},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":26},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":9,"detail":"Private Investments"}],"privateFunds":14},"sources":{"adv1FilingDate":"11 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/305962/PDF/305962.pdf","brochureDate":"11 August 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1054508","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 CLP Asset Management have?","answer":"CLP Asset Management has 6 clients and manages $174 million for them, as of August 2026. They include 6 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 11 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does CLP Asset Management offer?","answer":"CLP Asset Management provides 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":"How much does CLP Asset Management charge?","answer":"CLP Asset Management charges up to 1.50% a year for its Asset Management. The fee is billed in advance and is negotiable.","source":"CLP ADV PART 2A AND 2B, filed 11 August 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does CLP Asset Management use?","answer":"CLP Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $109M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 11 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does CLP Asset Management have?","answer":"CLP Asset Management has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 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 CLP Asset Management invest in?","answer":"At the end of its last fiscal year, CLP Asset Management’s separately managed accounts held 29% registered funds (mutual funds, ETFs, BDCs), 26% pooled vehicles (private funds and similar), 17% exchange-traded equities, 16% U.S. government and agency bonds, 9% other, 1% state and local bonds, 1% derivatives and 1% cash and equivalents. The 9% other category is described as: Private Investments. It advises 14 private funds.","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 CLP Asset Management?","answer":"CLP Asset Management’s direct owners are Joshua Luff, Jonathan Thiel and Richard Losiniecki, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 11 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does CLP Asset Management get paid?","answer":"CLP Asset Management is paid through a percentage of assets under management 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 CLP Asset Management?","answer":"Its phone number is 630-272-6321.","source":"Form ADV Part 1A, Item 1.F, filed 11 August 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."}