Hedge Fund Database

CETERA ADVISORS LLC

Adviser information for CETERA ADVISORS 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 1138
Investment Advisory/Research 997
Registered Broker-Dealer Representatives 1102
Registered State Investment Advisers 1038
Licensed Agents of an Insurance Company 851
No. of Firms/People that Solicit Clients 3

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 71,132 $18.8B
Non-Discretionary 10,520 $3.2B
Total 81,652 $22.0B

Clients

Type Number RAUM
Individuals 59,138 $10.7B
HNW Individuals 21,324 $10.5B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 580 $293.5M
Charitable organizations 253 $135.4M
State or municipal gov entities 15 $3.8M
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 342 $358.4M
Other 0 $0
Type Number
No. of Non-RAUM Clients 3396
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 2080

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 feesCommissions
Other Business Activities Broker-dealerRegistered municipal advisor

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 12.9B
Portfolio Manager 12.9B
Both for Same 12.9B
Portfolio Manager to Program Sponsor
MUTUAL FUND/EXCHANGE TRADED FUNDS ADVISORY PROGRAM CETERA ADVISORS LLC
PRIME PORTFOLIO SERVICES CETERA ADVISORS LLC
MY ADVICE ARCHITECT PROGRAM - ADVISOR, UNIFIED, GUIDED AND MANAGER CETERA ADVISORS LLC
S-MAP ADVISORY WRAP PROGRAM CETERA ADVISORS LLC
FUND SELECT ADVISORY WRAP PROGRAM CETERA ADVISORS LLC
ADVISOR SELECT CETERA ADVISORS LLC
NEXT GENERATION ADVISORY (XMA) PROGRAM CETERA ADVISORS LLC
PREMIER PORTFOLIO MANAGEMENT CETERA ADVISORS LLC
MANAGED WEALTH ADVANTAGE CETERA ADVISORS LLC
F-MAP ADVISORY WRAP PROGRAM CETERA ADVISORS LLC

Identifiers

SEC RIA File Number 801-33020
SEC ERA File Number 801-33020
SEC CIK Numbers 1534400
SEC CRD Numbers 10299
Legal Entity Identifier None

Principal Office

5299 DTC BLVD
SUITE 800
GREENWOOD VILLAGE
IL
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 310-257-7880, Fax: 877-338-1798

Websites

cetera.com facebook.com/ceterafinancialgroup www.ceteraadvisors.com linkedin.com/cetera-financial-group www.ceteraholdings.com

Chief Compliance Officer

KRISTY HALEY
ADVISORY CHIEF COMPLIANCE OFFICER
2301 ROSECRANS AVE
SUITE 5100
EL SEGUNDO
CA
United States
Tel: 310-257-7532
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 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 ADVISERS LLC Other investment adviser, including financial planners
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
SMILEY, STANLEY ROBERT Individual – VICE PRESIDENT 02/2006 < 5%
CETERA FINANCIAL HOLDINGS, INC Domestic Entity CETERA FINANCIAL GROUP, INC SHAREHOLDER, 100% COMMON STOCK 11/2009 > 75%
CETERA FINANCIAL GROUP, INC. Domestic Entity – SOLE MEMBER 12/2010 > 75%
ARETEC GROUP, INC Domestic Entity CETERA FINANCIAL HOLDINGS, INC. SHAREHOLDER; 100% OF COMMON STOCK 04/2014 > 75%
RAMOS, RAMON Individual – MONEY LAUNDERING REPORTING OFFICER 02/2013 < 5%
HALEY, KRISTY MARIE Individual – ADVISORY CHIEF COMPLIANCE OFFICER 11/2015 < 5%
GC TWO INTERMEDIATE HOLDINGS, INC. Domestic Entity ARETEC GROUP, INC. OWNER 10/2018
GC TWO HOLDINGS, INC. Domestic Entity GC TWO INTERMEDIATE HOLDINGS, INC. OWNER 10/2018
NEARY, JOSEPH DANIEL Individual – MANAGER AND VICE PRESIDENT 05/2021 < 5%
BUCHHEISTER, JEFFREY ROBERT Individual – CHIEF FINANCIAL OFFICER 05/2021 < 5%
MIZUGUCHI, MAURA RIE Individual – CHIEF ACCOUNTING OFFICER 05/2021 < 5%
CHAFFIN, GARY LYNN Individual – TAX OFFICER 05/2021 < 5%
STINSON, TIMOTHY EARL MCCOY Individual – VICE PRESIDENT 05/2021 < 5%
MERRILL, GARRETT JAMES Individual – VICE PRESIDENT 05/2021 < 5%
DEL VALLE, ELISA ANNE-MARIE Individual – VICE PRESIDENT 05/2021 < 5%
LISCHIN, MALISSA BLAKE Individual – VICE PRESIDENT 05/2021 < 5%
ARNOLD, SUMMER SELTZER Individual – VICE PRESIDENT 05/2021 < 5%
UMANSKY, DANIEL ADAM Individual – VICE PRESIDENT 05/2021 < 5%
TAYLOR, THOMAS BYRON Individual – MANAGER 05/2021 < 5%
GOK, LISA ANNE Individual – SECRETARY 05/2021 < 5%
VAN HAVERMAAT, DAVID JAMES Individual – ASSISTANT SECRETARY 05/2021 < 5%
LEE, WINNIE AI-LING Individual – ASSISTANT SECRETARY 05/2022 < 5%
DOWELL, RODNEY CAMMERON Individual – PRINCIPAL FINANCIAL OFFICER 03/2023 < 5%
HOLWEGER, KIMBERLEY Individual – CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER 03/2023 < 5%
HALLORAN, THOMAS WILLIAM Individual – CHIEF EXECUTIVE OFFICER 01/2024 < 5%
GC THREE HOLDINGS, LLC Domestic Entity GC TWO HOLDINGS, INC. OWNER 10/2023 > 75%
MCCALLOP, PATRICIA RUTHERFORD Individual – BROKER DEALER CHIEF COMPLIANCE OFFICER 01/2024 < 5%

No. Employees, Historic

2,0001,000020192020202120222023202420251066 on 4/12/20191066 on 4/18/20191066 on 4/24/20191066 on 5/1/20191066 on 6/21/20191066 on 6/27/20191066 on 7/1/20191066 on 8/6/20191066 on 8/27/20191066 on 9/16/20191066 on 9/27/20191066 on 10/22/20191066 on 12/6/20191066 on 1/2/20201066 on 1/14/20201066 on 1/15/20201164 on 3/17/20201164 on 4/17/20201164 on 4/30/20201164 on 5/7/20201164 on 6/9/20201164 on 6/17/20201164 on 6/18/20201164 on 6/25/20201164 on 6/25/20201164 on 6/30/20201164 on 7/10/20201164 on 7/13/20201164 on 7/15/20201164 on 7/23/20201164 on 7/27/20201164 on 9/1/20201164 on 11/4/20201164 on 11/18/20201164 on 12/18/20201164 on 12/23/20201164 on 12/24/20201164 on 1/25/20211164 on 3/10/20211178 on 3/26/20211178 on 4/13/20211178 on 4/30/20211178 on 5/7/20211178 on 5/27/20211178 on 6/16/20211178 on 6/16/20211178 on 6/30/20211178 on 7/15/20211178 on 7/16/20211178 on 9/16/20211178 on 10/12/20211178 on 10/19/20211178 on 10/22/20211178 on 11/15/20211178 on 1/3/20221178 on 2/9/20221178 on 2/28/20221199 on 3/29/20221199 on 6/3/20221199 on 6/7/20221199 on 9/2/20221199 on 11/7/20221199 on 11/10/20221199 on 1/6/20231199 on 1/15/20231199 on 1/25/20231199 on 3/15/20231047 on 3/29/20231047 on 4/17/20231047 on 6/1/20231047 on 6/4/20231047 on 7/7/20231047 on 8/17/20231047 on 8/22/20231047 on 10/17/20231047 on 10/30/20231047 on 11/16/20231047 on 1/4/20241047 on 1/5/20241047 on 1/19/20241138 on 3/28/2024

RAUM, Historic

30B15B0201920202021202220232024202512246297195 on 4/12/201912246297195 on 4/18/201912246297195 on 4/24/201912246297195 on 5/1/201912246297195 on 6/21/201912246297195 on 6/27/201912246297195 on 7/1/201912246297195 on 8/6/201912246297195 on 8/27/201912246297195 on 9/16/201912246297195 on 9/27/201912246297195 on 10/22/201912246297195 on 12/6/201912246297195 on 1/2/202012246297195 on 1/14/202012246297195 on 1/15/202015071320827 on 3/17/202015071320827 on 4/17/202015071320827 on 4/30/202015071320827 on 5/7/202015071320827 on 6/9/202015071320827 on 6/17/202015071320827 on 6/18/202015071320827 on 6/25/202015071320827 on 6/25/202015071320827 on 6/30/202015071320827 on 7/10/202015071320827 on 7/13/202015071320827 on 7/15/202015071320827 on 7/23/202015071320827 on 7/27/202015071320827 on 9/1/202015071320827 on 11/4/202015071320827 on 11/18/202015071320827 on 12/18/202015071320827 on 12/23/202015071320827 on 12/24/202015071320827 on 1/25/202115071320827 on 3/10/202118443415397 on 3/26/202118443415397 on 4/13/202118443415397 on 4/30/202118443415397 on 5/7/202118443415397 on 5/27/202118443415397 on 6/16/202118443415397 on 6/16/202118443415397 on 6/30/202118443415397 on 7/15/202118443415397 on 7/16/202118443415397 on 9/16/202118443415397 on 10/12/202118443415397 on 10/19/202118443415397 on 10/22/202118443415397 on 11/15/202118443415397 on 1/3/202218443415397 on 2/9/202218443415397 on 2/28/202224025594747 on 3/29/202224025594747 on 6/3/202224025594747 on 6/7/202224025594747 on 9/2/202224025594747 on 11/7/202224025594747 on 11/10/202224025594747 on 1/6/202324025594747 on 1/15/202324025594747 on 1/25/202324025594747 on 3/15/202321227977082 on 3/29/202321227977082 on 4/17/202321227977082 on 6/1/202321227977082 on 6/4/202321227977082 on 7/7/202321227977082 on 8/17/202321227977082 on 8/22/202321227977082 on 10/17/202321227977082 on 10/30/202321227977082 on 11/16/202321227977082 on 1/4/202421227977082 on 1/5/202421227977082 on 1/19/202421989347265 on 3/28/2024

No. Clients, Historic

90,00045,0000201920202021202220232024202558523 on 4/12/201958523 on 4/18/201958523 on 4/24/201958523 on 5/1/201958523 on 6/21/201958523 on 6/27/201958523 on 7/1/201958523 on 8/6/201958523 on 8/27/201958523 on 9/16/201958523 on 9/27/201958523 on 10/22/201958523 on 12/6/201958523 on 1/2/202058523 on 1/14/202058523 on 1/15/202058946 on 3/17/202058946 on 4/17/202058946 on 4/30/202058946 on 5/7/202058946 on 6/9/202058946 on 6/17/202058946 on 6/18/202058946 on 6/25/202058946 on 6/25/202058946 on 6/30/202058946 on 7/10/202058946 on 7/13/202058946 on 7/15/202058946 on 7/23/202058946 on 7/27/202058946 on 9/1/202058946 on 11/4/202058946 on 11/18/202058946 on 12/18/202058946 on 12/23/202058946 on 12/24/202058946 on 1/25/202158946 on 3/10/202168001 on 3/26/202168001 on 4/13/202168001 on 4/30/202168001 on 5/7/202168001 on 5/27/202168001 on 6/16/202168001 on 6/16/202168001 on 6/30/202168001 on 7/15/202168001 on 7/16/202168001 on 9/16/202168001 on 10/12/202168001 on 10/19/202168001 on 10/22/202168001 on 11/15/202168001 on 1/3/202268001 on 2/9/202268001 on 2/28/202284769 on 3/29/202284769 on 6/3/202284769 on 6/7/202284769 on 9/2/202284769 on 11/7/202284769 on 11/10/202284769 on 1/6/202384769 on 1/15/202384769 on 1/25/202384769 on 3/15/202389749 on 3/29/202389749 on 4/17/202389749 on 6/1/202389749 on 6/4/202389749 on 7/7/202389749 on 8/17/202389749 on 8/22/202389749 on 10/17/202389749 on 10/30/202389749 on 11/16/202389749 on 1/4/202489749 on 1/5/202489749 on 1/19/202481652 on 3/28/2024

Holdings

From latest 13F, filed May 24th, 2024 for period ending March 31st, 2024
Name Class Value $USD # Shares Private Fund
N/A COM 0 0 –