Joshua Luff

CLP ASSET MANAGEMENT

Ooltewah, TN

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CRD#: 5899228

Professional summary

Joshua Luff is a registered financial advisor currently at CLP ASSET MANAGEMENT, LLC located in Ooltewah, Tennessee.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Joshua has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

WatersEdge Management, LLC: Investment Related; Ooltewah, TN; Holder of two investment vehicles WatersEdge Holdings I and WatersEdge Holdings II. Indirect Minority Owner; 2019; approximately 20 hours per month during trading hours; Funds managed for select clients of CLP, not offered to the public. CLP Investments, LLC; Investment Related; Ooltewah, TN; Fund of Funds; Partial Owner; 2019; approximately 20 hours per month during trading hours;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Luff's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 25, 2019 - Present

CLP ASSET MANAGEMENT, LLC

RIA

CRD#: 305962

Ooltewah, TN

Past

June 18, 2014 - August 16, 2019

GREAT LAKES ADVISORS, LLC

RIA

CRD#: 110757

CHICAGO, IL

Past

June 18, 2014 - April 24, 2015

WINTRUST INVESTMENTS LLC

CRD#: 875

CHICAGO, IL

Past

October 7, 2013 - June 19, 2014

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

WHEATON, IL

Past

March 22, 2011 - June 19, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

WHEATON, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CLP ASSET MANAGEMENT, LLC

CRD#: 305962 / SEC#: 801-121850

RIA

Registered Investment Advisory firm - (7/26/2021 Approved)

Tennessee

Registered Investment Advisory firm - (7/29/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Tennessee
(10/25/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/4/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/2/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/24/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/2011

General Securities Representative Examination

Current Firm

CLP ASSET MANAGEMENT, LLC

CRD#: 305962 / SEC#: 801-121850

RIA

Registered Investment Advisory firm - (7/26/2021 Approved)

Tennessee

Registered Investment Advisory firm - (7/29/2021 Terminated)

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Contact information

Main Address

Ooltewah, TN

Mailing Address

Phone number

(630) 272-6321

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLP ADV PART 2A AND 2B (3/20/2025)

Regulatory assets under management

Total Number of Accounts	64
AUM (Assets Under Management)	$ 127,700,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
10/27/2023	Cover Page	Report
09/12/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Joshua Luff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Luff's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREAT LAKES ADVISORS, LLC

WINTRUST INVESTMENTS LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

CLP ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/4/2013

Series 63

Date: 5/2/2011

SIE

Date: 4/24/2015

Series 7

Date: 3/21/2011

Current Firm

CLP ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CLP ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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