Clearwater Capital Advisors, Llc
- Regulatory AUM
- $1.7B
- Discretionary
- $1.4B
- Clients
- 1,041
- Avg AUM / client
- $1.6M
- Accounts
- 2,793
- Employees
- 23
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 11, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 579 | $193M | 11.5% |
| High net worth individuals | 310 | $1.1B | 65.1% |
| Banking or thrift institutions | Fewer than 5 clients | — | — |
| Pension and profit sharing plans | 96 | $287M | 17.0% |
| Charitable organizations | 27 | $50.0M | 2.98% |
| State or municipal government entities | Fewer than 5 clients | — | — |
| Other investment advisers | Fewer than 5 clients | — | — |
| Insurance companies | Fewer than 5 clients | — | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | — | — |
| Corporations and other businesses | 29 | $57.7M | 3.43% |
People (15)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Alan Rodney Krause | Member | Mar 2006 (20y) | Less than 5% | |
| John Edward Chapman | Chief Executive Officer | Mar 2006 (20y) | ≈ 18.75% – 50% via Clearwater Capital Partners, Llc | |
| John William Sleeting | Chief Operating Officer | Mar 2009 (17y) | Less than 5% | |
| Jeffrey Paul Dehaan | Chief Compliance Officer | CFP | Jan 2010 (17y) | Less than 5% |
| Larson, Heather, J | Elected Manager | Jan 2023 (4y) | GP / trustee / elected manager of Clearwater Capital Partners, Llc (indirect) | |
| Tyler James Beachler | Registered representative | CFA | Aug 2012 (14y) | |
| James Foster Chapman | Registered representative | Jun 2014 (12y) | ||
| Kevin G Carani | Registered representative | Jan 2015 (12y) | ||
| Gregory W Davis | Registered representative | CFP | Aug 2015 (11y) | |
| Hunter J Sims | Registered representative | Mar 2021 (5y) | ||
| Melissa Jean Dailey | Registered representative | Oct 2021 (5y) | ||
| Jacob Matthew Clark | Registered representative | Nov 2023 (3y) | ||
| Valerie Neff Hogan | Registered representative | Mar 2024 (2y) | ||
| Carter King | Registered representative | Sep 2025 (1y) | ||
| Kevin Joseph Rochford | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Clearwater Capital Partners, Llc | Holding Company | May 2017 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- John Edward Chapman: 25% – 50% of Clearwater Capital Partners, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/11/2026 | 1.13 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $1.2B (71% of AUM) May 2026
- LPL Financial $546M (79% of AUM) Nov 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 11, 2026.
View current Form ADV (SEC/IAPD) ↗