Hedge Fund Database

CETERA ADVISOR NETWORKS LLC

Adviser information for CETERA ADVISOR NETWORKS LLC last updated from Form ADV on June 4th, 2023. 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 2881
Investment Advisory/Research 2499
Registered Broker-Dealer Representatives 2864
Registered State Investment Advisers 2818
Licensed Agents of an Insurance Company 2191
No. of Firms/People that Solicit Clients 23

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 164,494 $38.0B
Non-Discretionary 28,462 $8.7B
Total 192,956 $46.7B

Clients

Type Number RAUM
Individuals 137,744 $21.6B
HNW Individuals 52,058 $23.4B
Banking or thrift institutions <5 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 1,695 $587.0M
Charitable organizations 664 $320.0M
State or municipal gov entities 44 $30.6M
Other investment advisers <5 $0
Insurance companies <5 $0
Sovereign wealth funds and foreign official institutions <5 $0
Corporations or other businesses 751 $717.4M
Other <5 $0
Type Number
No. of Non-RAUM Clients 4427
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 2485

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-dealerInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 27.6B
Portfolio Manager 27.6B
Both for Same 27.6B
Portfolio Manager to Program Sponsor
MY ADVICE ARCHITECT PROGRAM - ADVISOR, UNIFIED, GUIDED AND MANAGER CETERA ADVISOR NETWORKS LLC
ADVISOR AS PORTFOLIO MANAGER PROGRAM (APM) CETERA INVESTMENT ADVISERS (CIA)
NEXT GENERATION ADVISORY (XMA) PROGRAM CETERA ADVISOR NETWORKS LLC
PRIME PORTFOLIO SERVICES CETERA ADVISOR NETWORKS LLC
MANAGED WEALTH ADVANTAGE CETERA ADVISOR NETWORKS LLC
PREMIER PORTFOLIO MANAGEMENT CETERA ADVISOR NETWORKS LLC
MUTUAL FUND/ EXCHANGE TRADED FUNDS ADVISORY PROGRAM CETERA ADVISOR NETWORKS LLC

Identifiers

SEC RIA File Number 801-47342
SEC ERA File Number 801-47342
SEC CIK Numbers 1534468
SEC CRD Numbers 13572
Legal Entity Identifier None

Principal Office

2301 ROSECRANS AVENUE
SUITE 5100
EL SEGUNDO
CA
United States
Monday - Friday, 9:00AM TO 5:00 PM
Tel: 310-326-3100, Fax: 310-784-1164

Websites

www.ceteraadvisornetworks.com facebook.com/ceterafinancialgroup cetera.com linkedin.com/cetera-financial-group

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
CETERA ADVISOR NETWORKS INSURANCE SERVICES LLC Insurance company or agency
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 dealer
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
FASI INSURANCE SERVICES, INC. Insurance company or agency
FASI OF TX, INC. Insurance company or agency
FIRST ALLIED RETIREMENT SERVICES, INC. Pension consultant
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
TAYLOR, THOMAS BYRON Individual – MANAGER AND CHIEF EXECUTIVE OFFICER 01/2022 < 5%
SMILEY, STANLEY ROBERT Individual – VICE PRESIDENT 11/2007 < 5%
CETERA FINANCIAL HOLDINGS, INC. Domestic Entity CETERA FINANCIAL GROUP, INC. SHAREHOLDER; 100% OF COMMON STOCK 11/2009 > 75%
CETERA FINANCIAL GROUP, INC. Domestic Entity – SOLE MEMBER 12/2010 > 75%
RAMOS, RAMON Individual – MONEY LAUNDERING REPORTING OFFICER 02/2013 < 5%
ARETEC GROUP, INC. Domestic Entity CETERA FINANCIAL HOLDINGS, INC. SOLE MEMBER 04/2014 > 75%
HALEY, KRISTY MARIE Individual – ADVISORY CHIEF COMPLIANCE OFFICER 11/2015 < 5%
STONE, TIMOTHY PATRICK Individual – VICE PRESIDENT 05/2021 < 5%
MCCALLOP, PATRICIA RUTHERFORD Individual – BROKER DEALER CHIEF COMPLIANCE OFFICER 01/2019 < 5%
NEARY, JOSEPH DANIEL Individual – MANAGER AND VICE PRESIDENT 05/2019 < 5%
GOOLEY, THOMAS ANDREW Individual – MANAGER 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 – PRESIDENT 01/2022 < 5%
COAXUM, KOFI SULE Individual – VICE PRESIDENT 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%

No. Employees, Historic

3,0001,50002019202020212022202320241767 on 4/12/20191767 on 4/18/20191767 on 4/24/20191767 on 5/1/20191767 on 6/21/20191767 on 6/27/20191767 on 8/6/20191767 on 8/27/20191767 on 9/4/20191767 on 9/16/20191767 on 9/16/20191767 on 9/27/20191767 on 10/4/20191767 on 10/22/20191767 on 12/6/20191767 on 12/20/20191767 on 1/14/20201767 on 1/15/20202218 on 3/17/20202218 on 4/15/20202218 on 4/30/20202218 on 5/7/20202218 on 6/9/20202218 on 6/16/20202218 on 6/18/20202218 on 6/25/20202218 on 6/25/20202218 on 6/30/20202218 on 7/10/20202218 on 7/13/20202218 on 7/23/20202218 on 7/27/20202218 on 11/4/20202218 on 11/16/20202218 on 11/30/20202218 on 12/18/20202218 on 12/23/20202218 on 12/24/20202218 on 1/25/20212151 on 3/26/20212151 on 3/31/20212151 on 4/13/20212151 on 4/30/20212151 on 5/7/20212151 on 5/27/20212151 on 6/18/20212151 on 6/18/20212151 on 6/30/20212151 on 6/30/20212151 on 6/30/20212151 on 7/13/20212151 on 7/16/20212151 on 8/30/20212151 on 9/9/20212151 on 9/16/20212151 on 10/12/20212151 on 10/22/20212151 on 11/15/20212151 on 11/17/20212151 on 11/17/20212151 on 1/3/20222151 on 2/9/20222151 on 2/28/20222867 on 3/28/20222867 on 6/3/20222867 on 6/7/20222867 on 9/2/20222867 on 11/7/20222867 on 11/28/20222867 on 1/6/20232867 on 1/15/20232867 on 1/15/20232867 on 1/15/20232867 on 3/15/20232881 on 3/29/20232881 on 4/17/20232881 on 5/5/20232881 on 6/1/20232881 on 6/4/2023

RAUM, Historic

60B30B020192020202120222023202418099125377 on 4/12/201918099125377 on 4/18/201918099125377 on 4/24/201918099125377 on 5/1/201918099125377 on 6/21/201918099125377 on 6/27/201918099125377 on 8/6/201918099125377 on 8/27/201918099125377 on 9/4/201918099125377 on 9/16/201918099125377 on 9/16/201918099125377 on 9/27/201918099125377 on 10/4/201918099125377 on 10/22/201918099125377 on 12/6/201918099125377 on 12/20/201918099125377 on 1/14/202018099125377 on 1/15/202025829007600 on 3/17/202025829007600 on 4/15/202025829007600 on 4/30/202025829007600 on 5/7/202025829007600 on 6/9/202025829007600 on 6/16/202025829007600 on 6/18/202025829007600 on 6/25/202025829007600 on 6/25/202025829007600 on 6/30/202025829007600 on 7/10/202025829007600 on 7/13/202025829007600 on 7/23/202025829007600 on 7/27/202025829007600 on 11/4/202025829007600 on 11/16/202025829007600 on 11/30/202025829007600 on 12/18/202025829007600 on 12/23/202025829007600 on 12/24/202025829007600 on 1/25/202125816595542 on 3/26/202125816595542 on 3/31/202125816595542 on 4/13/202125816595542 on 4/30/202125816595542 on 5/7/202125816595542 on 5/27/202125816595542 on 6/18/202125816595542 on 6/18/202125816595542 on 6/30/202125816595542 on 6/30/202125816595542 on 6/30/202125816595542 on 7/13/202125816595542 on 7/16/202125816595542 on 8/30/202125816595542 on 9/9/202125816595542 on 9/16/202125816595542 on 10/12/202125816595542 on 10/22/202125816595542 on 11/15/202125816595542 on 11/17/202125816595542 on 11/17/202125816595542 on 1/3/202225816595542 on 2/9/202225816595542 on 2/28/202250295706952 on 3/28/202250295706952 on 6/3/202250295706952 on 6/7/202250295706952 on 9/2/202250295706952 on 11/7/202250295706952 on 11/28/202250295706952 on 1/6/202350295706952 on 1/15/202350295706952 on 1/15/202350295706952 on 1/15/202350295706952 on 3/15/202346651447975 on 3/29/202346651447975 on 4/17/202346651447975 on 5/5/202346651447975 on 6/1/202346651447975 on 6/4/2023

No. Clients, Historic

200,000100,000020192020202120222023202471503 on 4/12/201971503 on 4/18/201971503 on 4/24/201971503 on 5/1/201971503 on 6/21/201971503 on 6/27/201971503 on 8/6/201971503 on 8/27/201971503 on 9/4/201971503 on 9/16/201971503 on 9/16/201971503 on 9/27/201971503 on 10/4/201971503 on 10/22/201971503 on 12/6/201971503 on 12/20/201971503 on 1/14/202071503 on 1/15/202085917 on 3/17/202085917 on 4/15/202085917 on 4/30/202085917 on 5/7/202085917 on 6/9/202085917 on 6/16/202085917 on 6/18/202085917 on 6/25/202085917 on 6/25/202085917 on 6/30/202085917 on 7/10/202085917 on 7/13/202085917 on 7/23/202085917 on 7/27/202085917 on 11/4/202085917 on 11/16/202085917 on 11/30/202085917 on 12/18/202085917 on 12/23/202085917 on 12/24/202085917 on 1/25/202180874 on 3/26/202180874 on 3/31/202180874 on 4/13/202180874 on 4/30/202180874 on 5/7/202180874 on 5/27/202180874 on 6/18/202180874 on 6/18/202180874 on 6/30/202180874 on 6/30/202180874 on 6/30/202180874 on 7/13/202180874 on 7/16/202180874 on 8/30/202180874 on 9/9/202180874 on 9/16/202180874 on 10/12/202180874 on 10/22/202180874 on 11/15/202180874 on 11/17/202180874 on 11/17/202180874 on 1/3/202280874 on 2/9/202280874 on 2/28/2022174993 on 3/28/2022174993 on 6/3/2022174993 on 6/7/2022174993 on 9/2/2022174993 on 11/7/2022174993 on 11/28/2022174993 on 1/6/2023174993 on 1/15/2023174993 on 1/15/2023174993 on 1/15/2023174993 on 3/15/2023192956 on 3/29/2023192956 on 4/17/2023192956 on 5/5/2023192956 on 6/1/2023192956 on 6/4/2023

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 –