Hedge Fund Database

CETERA INVESTMENT ADVISERS LLC

Adviser information for CETERA INVESTMENT ADVISERS LLC last updated from Form ADV on March 28th, 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 Delaware, United States

Employees

Total Number of Employees 6648
Investment Advisory/Research 5928
Registered Broker-Dealer Representatives 6626
Registered State Investment Advisers 6645
Licensed Agents of an Insurance Company 5438
No. of Firms/People that Solicit Clients 95

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 339,316 $78.4B
Non-Discretionary 84,238 $26.1B
Total 423,554 $104.5B

Clients

Type Number RAUM
Individuals 334,765 $64.1B
HNW Individuals 81,261 $35.8B
Banking or thrift institutions <5 $6.0M
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 3,980 $1.4B
Charitable organizations 1,550 $934.7M
State or municipal gov entities 36 $36.3M
Other investment advisers <5 $0
Insurance companies <5 $0
Sovereign wealth funds and foreign official institutions <5 $0
Corporations or other businesses 1,958 $2.2B
Other 0 $0
Type Number
No. of Non-RAUM Clients 16618
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 12789

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 69.0B
Portfolio Manager 69.0B
Both for Same 69.0B
Portfolio Manager to Program Sponsor
MUTUAL FUND/EXCHANGE TRADED FUND ADVISORY PROGRAM CETERA INVESTMENT ADVISERS LLC
NEXT GENERATION MANAGED ACCOUNT (XMA) PROGRAM CETERA INVESTMENT ADVISERS LLC
PORTFOLIO ADVISORY SERVICES (PAS) CETERA INVESTMENT ADVISERS LLC
MANAGED ACCOUNT PROGRAM (MAP) CETERA INVESTMENT ADVISERS LLC
PRIVATE CLIENT SERVICES CETERA INVESTMENT ADVISERS LLC
MY ADVICE ARCHITECT PROGRAM - ADVISOR, UNIFIED, GUIDED AND MANAGER CETERA INVESTMENT ADVISERS LLC
GPS PROGRAM- MANAGER SERIES, ALLOCATION SERIES, PORTFOLIO ONE AND ADVISOR SELECT CETERA INVESTMENT ADVISERS LLC
PRIME PORTFOLIO SERVICES CETERA INVESTMENT ADVISERS LLC
MANAGED WEALTH ADVANTAGE (MWA) PROGRAM CETERA INVESTMENT ADVISERS LLC
PREMIER PORTFOLIO MANAGEMENT CETERA INVESTMENT ADVISERS LLC
INVESTPATH CETERA INVESTMENT ADVISERS LLC
PORTFOLIO ONE CETERA INVESTMENT ADVISERS LLC
ADVISOR AS PORTFOLIO MANAGER PROGRAM (APM) CETERA INVESTMENT ADVISERS LLC
SPECTRUM ADVISOR CETERA INVESTMENT ADVISERS LLC
CWMG ONE CETERA INVESTMENT ADVISERS LLC
FREEDOM CETERA INVESTMENT ADVISERS LLC
SELECT CETERA INVESTMENT ADVISERS LLC

Identifiers

SEC RIA File Number 801-20406
SEC ERA File Number 801-20406
SEC CIK Numbers None
SEC CRD Numbers 105644
Legal Entity Identifier None

Principal Office

1450 AMERICAN LANE
6TH FLOOR, SUITE 650
SCHAUMBURG
IL
United States
Monday - Friday, 8AM TO 5PM CT
Tel: 310-257-7880, Fax: 847-330-7912

Websites

linkedin.com/cetera-financial-group www.ceterafinancialspecialists.com www.ceterafinancialinstitutions.com vimeo.com/firstallied www.ceterainvestmentservices.com facebook.com/ceterafinancialgroup cetera.com www.ceteraholdings.com

Chief Compliance Officer

KRISTY HALEY
ADVISORY CHIEF COMPLIANCE OFFICER
2301 ROSECRANS AVE
SUITE 5100
EL SEGUNDO
CA
United States
Tel: 310-257-7556
Fax: 877-339-0774
(Full email address available in API data)

Regulatory Contact

JOSE RODRIGUEZ
DIRECTOR ADVISORY COMPLIANCE
2301 ROSECRANS AVE
SUITE 5100
EL SEGUNDO
CA
United States
Tel: 310.257.7526
Fax: 877-339-0774
(Full email address available in API data)

Industry Affiliates

ASSOCIATES IN EXCELLENCE, INC. Pension consultant
AVANTAX ADVISORY SERVICES Other investment adviser, including financial planners
AVANTAX INVESTMENT SERVICES, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
AVANTAX PLANNING PARTNERS, INC. Other investment adviser, including financial planners
CETERA ADVISOR NETWORKS INSURANCE SERVICES LLC Insurance company or agency
CETERA ADVISOR NETWORKS LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CETERA ADVISORS INSURANCE SERVICES LLC Insurance company or agency
CETERA ADVISORS LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisor
CETERA ADVISORY SERVICES LLC Other investment adviser, including financial planners
CETERA FINANCIAL SPECIALISTS LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency
CETERA INSURANCE AGENCY, LLC Insurance company or agency
CETERA INVESTMENT MANAGEMENT LLC Other investment adviser, including financial planners
CETERA INVESTMENT SERVICES LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency
CETERA TRUST COMPANY, N.A. Trust company
FASI INSURANCE SERVICES, INC. Insurance company or agency
FASI OF TX, INC. Insurance company or agency
FIRST ALLIED RETIREMENT SERVICES, INC. Pension consultant
NFG BROKERAGE, LLC Insurance company or agency
THE RETIREMENT PLANNING GROUP, LLC Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
CETERA FINANCIAL SPECIALISTS SERVICES LLC Domestic Entity – SOLE MEMBER 06/1998 > 75%
CETERA FINANCIAL GROUP, INC. Domestic Entity CETERA FINANCIAL SPECIALISTS SERVICES LLC SOLE MEMBER 10/2012 > 75%
CETERA FINANCIAL HOLDINGS, INC. Domestic Entity CETERA FINANCIAL GROUP, INC. OWNER 10/2009 > 75%
SMILEY, STANLEY, ROBERT Individual – VICE PRESIDENT 04/2012 < 5%
ARETEC GROUP, INC. Domestic Entity CETERA FINANCIAL HOLDINGS, INC. OWNER 12/2009 > 75%
HALEY, KRISTY, MARIE Individual – CHIEF COMPLIANCE OFFICER, ADVISORY 11/2015 < 5%
RUMMEL, LEANN, RENEE Individual – VICE PRESIDENT 09/2017 < 5%
NEARY, JOSEPH, DANIEL Individual – MANAGER 05/2019 < 5%
TAYLOR, THOMAS, BYRON Individual – CHEIF EXECUTIVE OFFICER & PRESIDENT 12/2019 < 5%
Mizuguchi, Maura, Rie Individual – CHIEF ACCOUNTING OFFICER 05/2021 < 5%
Chaffin, Gary, Lynn Individual – TAX OFFICER 05/2021 < 5%
KRUEGER, RONALD, GEORGE Individual – VICE PRESIDENT 07/2020 < 5%
GOK, LISA, ANNE Individual – SECRETARY 05/2021 < 5%
Van Havermaat, David Individual – ASSISTANT SECRETARY 05/2021 < 5%
BUCHHEISTER, JEFFREY, ROBERT Individual – CHIEF FINANCIAL OFFICER 05/2021 < 5%
Gooley, Thomas, Andrew Individual – MANAGER 05/2021 < 5%
SHORES, ALLAN, KEITH Individual – TREASURER 04/2021 < 5%
LEE, WINNIE, AI-LING Individual – ASSISTANT SECRETARY 05/2022 < 5%
HOLWEGER, KIMBERLEY Individual – CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER 03/2023 < 5%
HOLLORAN, WILLIAM, THOMAS Individual – VICE PRESIDENT 01/2024 < 5%
GC TWO INTERMEDIATE HOLDINGS, INC Domestic Entity ARETEC GROUP, INC. OWNER 12/2012 > 75%
GC TWO HOLDINGS, INC Domestic Entity GC TWO INTERMEDIATE HOLDINGS, INC OWNER 07/2018 > 75%
GC THREE HOLDINGS, LLC Domestic Entity GC TWO HOLDINGS, INC OWNER 07/2023 > 75%

No. Employees, Historic

7,0003,500020192020202120222023202420252072 on 4/12/20192072 on 4/18/20192072 on 4/24/20192072 on 6/21/20192072 on 6/27/20192072 on 8/6/20192072 on 8/27/20192072 on 10/4/20192072 on 12/5/20192072 on 12/6/20192072 on 12/9/20192072 on 12/12/20192072 on 1/14/20202072 on 2/25/20202358 on 3/17/20202358 on 4/8/20202358 on 4/30/20202358 on 5/7/20202358 on 6/9/20202358 on 6/25/20202358 on 6/30/20202358 on 7/13/20202358 on 7/23/20202358 on 11/4/20202358 on 11/16/20202358 on 12/23/20202358 on 12/24/20202358 on 1/4/20212358 on 3/9/20212967 on 3/26/20212967 on 4/13/20212967 on 4/30/20212967 on 5/3/20212967 on 5/27/20212967 on 6/16/20212967 on 6/18/20212967 on 6/29/20212967 on 6/30/20212967 on 8/18/20212967 on 9/13/20212967 on 9/16/20212967 on 10/5/20212967 on 10/12/20212967 on 11/15/20212967 on 1/3/20222967 on 2/28/20222967 on 3/10/20223055 on 3/29/20223055 on 5/31/20223055 on 6/3/20223055 on 6/7/20223055 on 9/2/20223055 on 9/8/20223055 on 11/7/20223055 on 11/10/20223055 on 11/28/20223055 on 12/14/20223055 on 1/6/20233055 on 1/15/20233055 on 1/31/20233055 on 2/13/20233055 on 3/15/20233094 on 3/29/20233094 on 4/17/20233094 on 4/17/20233094 on 5/5/20233094 on 5/19/20233094 on 6/1/20233094 on 6/4/20233094 on 7/6/20233094 on 7/7/20233094 on 8/22/20233094 on 8/28/20233094 on 9/19/20233094 on 10/17/20233094 on 10/23/20233094 on 1/4/20243094 on 1/8/20243094 on 1/19/20246648 on 3/28/2024

RAUM, Historic

200B100B0201920202021202220232024202510324028419 on 4/12/201910324028419 on 4/18/201910324028419 on 4/24/201910324028419 on 6/21/201910324028419 on 6/27/201910324028419 on 8/6/201910324028419 on 8/27/201910324028419 on 10/4/201910324028419 on 12/5/201910324028419 on 12/6/201910324028419 on 12/9/201910324028419 on 12/12/201910324028419 on 1/14/202010324028419 on 2/25/202015868306581 on 3/17/202015868306581 on 4/8/202015868306581 on 4/30/202015868306581 on 5/7/202015868306581 on 6/9/202015868306581 on 6/25/202015868306581 on 6/30/202015868306581 on 7/13/202015868306581 on 7/23/202015868306581 on 11/4/202015868306581 on 11/16/202015868306581 on 12/23/202015868306581 on 12/24/202015868306581 on 1/4/202115868306581 on 3/9/202128325892693 on 3/26/202128325892693 on 4/13/202128325892693 on 4/30/202128325892693 on 5/3/202128325892693 on 5/27/202128325892693 on 6/16/202128325892693 on 6/18/202128325892693 on 6/29/202128325892693 on 6/30/202128325892693 on 8/18/202128325892693 on 9/13/202128325892693 on 9/16/202128325892693 on 10/5/202128325892693 on 10/12/202128325892693 on 11/15/202128325892693 on 1/3/202228325892693 on 2/28/202228325892693 on 3/10/202235761561074 on 3/29/202235761561074 on 5/31/202235761561074 on 6/3/202235761561074 on 6/7/202235761561074 on 9/2/202235761561074 on 9/8/202235761561074 on 11/7/202235761561074 on 11/10/202235761561074 on 11/28/202235761561074 on 12/14/202235761561074 on 1/6/202335761561074 on 1/15/202335761561074 on 1/31/202335761561074 on 2/13/202335761561074 on 3/15/202333356369941 on 3/29/202333356369941 on 4/17/202333356369941 on 4/17/202333356369941 on 5/5/202333356369941 on 5/19/202333356369941 on 6/1/202333356369941 on 6/4/202333356369941 on 7/6/202333356369941 on 7/7/202333356369941 on 8/22/202333356369941 on 8/28/202333356369941 on 9/19/202333356369941 on 10/17/202333356369941 on 10/23/202333356369941 on 1/4/202433356369941 on 1/8/202433356369941 on 1/19/2024104468595111 on 3/28/2024

No. Clients, Historic

500,000250,0000201920202021202220232024202554906 on 4/12/201954906 on 4/18/201954906 on 4/24/201954906 on 6/21/201954906 on 6/27/201954906 on 8/6/201954906 on 8/27/201954906 on 10/4/201954906 on 12/5/201954906 on 12/6/201954906 on 12/9/201954906 on 12/12/201954906 on 1/14/202054906 on 2/25/202078591 on 3/17/202078591 on 4/8/202078591 on 4/30/202078591 on 5/7/202078591 on 6/9/202078591 on 6/25/202078591 on 6/30/202078591 on 7/13/202078591 on 7/23/202078591 on 11/4/202078591 on 11/16/202078591 on 12/23/202078591 on 12/24/202078591 on 1/4/202178591 on 3/9/2021129757 on 3/26/2021129757 on 4/13/2021129757 on 4/30/2021129757 on 5/3/2021129757 on 5/27/2021129757 on 6/16/2021129757 on 6/18/2021129757 on 6/29/2021129757 on 6/30/2021129757 on 8/18/2021129757 on 9/13/2021129757 on 9/16/2021129757 on 10/5/2021129757 on 10/12/2021129757 on 11/15/2021129757 on 1/3/2022129757 on 2/28/2022129757 on 3/10/2022169758 on 3/29/2022169758 on 5/31/2022169758 on 6/3/2022169758 on 6/7/2022169758 on 9/2/2022169758 on 9/8/2022169758 on 11/7/2022169758 on 11/10/2022169758 on 11/28/2022169758 on 12/14/2022169758 on 1/6/2023169758 on 1/15/2023169758 on 1/31/2023169758 on 2/13/2023169758 on 3/15/2023176986 on 3/29/2023176986 on 4/17/2023176986 on 4/17/2023176986 on 5/5/2023176986 on 5/19/2023176986 on 6/1/2023176986 on 6/4/2023176986 on 7/6/2023176986 on 7/7/2023176986 on 8/22/2023176986 on 8/28/2023176986 on 9/19/2023176986 on 10/17/2023176986 on 10/23/2023176986 on 1/4/2024176986 on 1/8/2024176986 on 1/19/2024423554 on 3/28/2024