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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

CETERA INVESTMENT MANAGEMENT LLC

CRD 165436

SCHAMBURG, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:145809ce-5759-cd9e-dab0-90f44195ee1f

Data as of Aug 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 68
Dated events: 10
On other graphs: 0
Observed: Nov 20, 2012 to Aug 11, 2026
90 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=18.0
Regulatory AUM: $0Item 5.F on the latest filing (2026-08-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 11
Employees: 25
Advisory employees: 9
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 0
SEC number: 801-77403
CIK: 1665979
CRD: 165436
Filings on the tape: 90
First filed: Nov 20, 2012
Latest filed: Aug 11, 2026
Organised: Limited Liability Company, DE
Website: cetera.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
SHANNON LEE OTTERBECK	n/a	SAN DIEGO, CA	11	23	6	yes
GENE FITZGERALD GOLDMAN	Chartered Financial Analyst	EL SEGUNDO, CA \| LOS ANGELES, CA \| SANTA MONICA, CA	11	30	n/a	yes
RICHARD PAUL ANDERSON	n/a	ST CLOUD, MN	9	42	n/a	yes
ROSS KRONHOLM	Certified Financial Planner	ST PAUL, MN	3	22	3	yes
Tyler Akerlind	Chartered Financial Analyst	SAINT PAUL, MN \| EDEN PRAIRIE, MN	3	13	2	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ARETEC GROUP, INC.	Owner	E	yes	10/2009	Jun 6, 2016	Sep 20, 2024
BUCHHEISTER, JEFFREY, ROBERT	CHIEF FINANCIAL OFFICER	Na	yes	04/2021	Mar 28, 2022	Sep 20, 2024
CETERA FINANCIAL GROUP, INC	SOLE MEMBER	E	yes	10/2009	Mar 28, 2024	Sep 20, 2024
CETERA FINANCIAL GROUP, INC.	SOLE MEMBER	E	yes	11/2012	Nov 20, 2012	Sep 20, 2024
CETERA FINANCIAL HOLDINGS, INC.	Owner	E	yes	10/2009	Nov 20, 2012	Sep 20, 2024
GC THREE HOLDINGS, LLC	Owner	E	yes	07/2018	Mar 28, 2024	Sep 20, 2024
GC TWO HOLDINGS, INC	Owner	E	yes	07/2018	Mar 28, 2024	Sep 20, 2024
GC TWO INTERMEDIATE HOLDINGS, INC	Owner	E	yes	12/2012	Mar 28, 2024	Sep 20, 2024
GOLDMAN, GENE, FITZGERALD	CHIEF INVESTMENT OFFICER	Na	yes	07/2017	Nov 20, 2012	Sep 20, 2024
NEARY, JOSEPH, DANIEL	MANAGER, VP	Na	yes	05/2019	Aug 27, 2019	Sep 20, 2024
SHORES, ALLAN, KEITH	Treasurer	Na	yes	07/2017	Jul 14, 2017	Sep 20, 2024
Taylor, Thomas, Byron	CEO, PRESIDENT	Na	yes	04/2021	Mar 28, 2022	Sep 20, 2024
Chaffin, Gary, Lynn	TAX OFFICER	Na	no	04/2021	Mar 28, 2022	Sep 20, 2024
FRIES, MATTHEW, NEIL KALANI	VICE PRESIDENT	Na	no	07/2024	Sep 20, 2024	Sep 20, 2024
GOK, LISA, ANNE	Secretary	Na	no	04/2021	Jun 11, 2015	Sep 20, 2024
LEE, WINNIE, AI-LING	ASSISTANT SECRETARY	Na	no	05/2022	Jun 3, 2022	Sep 20, 2024
Mizuguchi, Maura, Rie	CHIEF ACCOUNTING OFFICER	Na	no	04/2021	Mar 28, 2022	Sep 20, 2024
RODRIGUEZ, JOSE, LUIS	CHIEF COMPLIANCE OFFICER	Na	no	11/2018	Mar 11, 2020	Sep 20, 2024
SMILEY, STANLEY, ROBERT	VICE PRESIDENT	Na	no	11/2012	Nov 20, 2012	Sep 20, 2024
Van Havermaat, David, James	ASSISTANT SECRETARY	Na	no	04/2021	Mar 28, 2022	Sep 20, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CETERA INVESTMENT ADVISERS LLC	n/a	Bd affiliated wealth	$257B	N	yes	n/a
CETERA ADVISOR NETWORKS LLC	n/a	Former SEC adviser	$47B	N	yes	n/a
AVANTAX ADVISORY SERVICES, INC.	n/a	Former SEC adviser	$46B	N	yes	n/a
CETERA ADVISORS LLC	n/a	Former SEC adviser	$22B	N	yes	n/a
AVANTAX PLANNING PARTNERS, INC.	n/a	Bd affiliated wealth	$7.6B	N	yes	n/a
THE RETIREMENT PLANNING GROUP, LLC	n/a	Independent wealth	$4.2B	N	yes	n/a
CETERA INVESTMENT SERVICES LLC	n/a	Former SEC adviser	$1.2B	N	yes	n/a
CETERA ADVISORY SERVICES LLC	n/a	No RAUM reported	$0	N	yes	n/a
ASSOCIATES IN EXCELLENCE, INC.	n/a	n/a	n/a	N	yes	n/a
AVANTAX INVESTMENT SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
CETERA ADVISOR NETWORKS INSURANCE SERVICES LLC	n/a	n/a	n/a	N	yes	n/a
CETERA ADVISORS INSURANCE SERVICES LLC	n/a	n/a	n/a	N	yes	n/a
CETERA FINANCIAL SPECIALISTS LLC	n/a	n/a	n/a	N	yes	n/a
CETERA INSURANCE AGENCY LLC	n/a	n/a	n/a	N	yes	n/a
CETERA TRUST COMPANY, N.A.	n/a	n/a	n/a	N	yes	n/a
FASI INSURANCE SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
FASI OF TX, INC.	n/a	n/a	n/a	N	yes	n/a
FIRST ALLIED RETIREMENT SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
NFG BROKERAGE, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
EL SEGUNDO	CA	United States	5	yes
SAN DIEGO	CA	United States	4	yes
SAINT PAUL	Mn	United States	3	yes
ST CLOUD	Mn	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 14 of 17

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 1, 2026	$0	$0	25	9	4	n/a	n/a
2024	Apr 9, 2025	$0	$0	23	9	4	n/a	n/a
2023	Mar 28, 2024	n/a	n/a	24	13	4	n/a	n/a
2022	Mar 29, 2023	n/a	n/a	23	7	2	n/a	n/a
2021	Mar 28, 2022	n/a	n/a	15	7	2	n/a	n/a
2020	Mar 26, 2021	n/a	n/a	16	7	2	n/a	n/a
2019	Mar 17, 2020	n/a	n/a	16	7	2	n/a	n/a
2018	Mar 14, 2019	n/a	n/a	14	7	2	n/a	n/a
2017	Mar 28, 2018	$0	$0	18	9	2	n/a	n/a
2016	Mar 31, 2017	$173M	$173M	23	11	n/a	n/a	n/a
2015	Mar 30, 2016	$4.4B	$403M	19	12	n/a	n/a	n/a
2014	Apr 14, 2015	n/a	n/a	8	8	n/a	n/a	n/a
2013	Mar 21, 2014	n/a	n/a	14	14	n/a	n/a	n/a
2012	Apr 1, 2013	n/a	n/a	5	2	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	25	23	4	4

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
COLUMBUS MACRO, LLC	3	Jul 7, 2017	Jun 30, 2017	SCOTTSDALE, AZ	Team lift out	Other	21.4%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CETERA INVESTMENT ADVISERS LLC	2	Aug 14, 2023	Aug 14, 2023	ST PAUL, MN	Team lift out	Other	0.0%
FIRST ALLIED ADVISORY SERVICES, INC.	2	Nov 12, 2020	Nov 9, 2015	SAN DIEGO, CA	Channel change	Other	0.5%
FIRST ALLIED ASSET MANAGEMENT, INC.	3	Oct 30, 2015	Jun 9, 2015	SCOTTSDALE, AZ	Firm absorbed	Other	50.0%
FIRST ALLIED ASSET MANAGEMENT, INC.	2	Oct 30, 2015	Jun 9, 2015	SAN DIEGO, CA	Team lift out	Other	33.3%

Relationships

Affiliated with (23)

← CETERA PLANNING PARTNERSRegistered adviserother investment adviser, common control
factForm ADV
← CETERA INVESTMENT ADVISERS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CETERA ADVISORS LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserother investment adviser, common control
factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ AVANTAX PLANNING PARTNERS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ CETERA PLANNING PARTNERSRegistered adviserother investment adviser, common control
factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserbroker-dealer, common control
factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserbroker-dealer, common control
factForm ADV
→ CETERA ADVISORY SERVICES LLCRegistered adviserother investment adviser, common control
factForm ADV
← CETERA ADVISORY SERVICES LLCRegistered adviserother investment adviser, common control
factForm ADV
← AVANTAX PLANNING PARTNERS, INC.Registered adviserother investment adviser, common control
factForm ADV
← AVANTAX ADVISORY SERVICESRegistered adviserother investment adviser, common control
factForm ADV
← CETERA ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
← CETERA ADVISOR NETWORKS LLCRegistered adviserother investment adviser, common control
factForm ADV
← SUMMIT FINANCIAL GROUP INCRegistered adviserother investment adviser, common control
factForm ADV
← FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserother investment adviser, common control
factForm ADV
← FIRST ALLIED SECURITIES, INC.Registered adviserother investment adviser, common control
factForm ADV
← GIRARD SECURITIES, INC.Registered adviserother investment adviser, common control
factForm ADV
← VSR ADVISORY SERVICESRegistered adviserother investment adviser, common control
factForm ADV
← J P TURNER & COMPANY CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← FIRST ALLIED ASSET MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
← CETERA INVESTMENT SERVICES LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (20)

← ROSS KRONHOLMAdvisorregistration: current employment
Aug 14, 2023 to presentfactForm ADV
← Tyler AkerlindAdvisorregistration: current employment
Aug 14, 2023 to presentfactForm ADV
← RICHARD PAUL ANDERSONAdvisorregistration: current employment
Jul 13, 2017 to presentfactForm ADV
← KRISTY MARIE HALEYAdvisorregistration: current employment
Jan 19, 2016 to presentfactForm ADV
← MATTHEW GREGORY BREGOZZOAdvisorregistration: current employment
Nov 6, 2015 to presentfactForm ADV
← GENE FITZGERALD GOLDMANAdvisorregistration: current employment
Jul 10, 2015 to presentfactForm ADV
← VAISHALI KOTHARIAdvisorregistration: current employment
Jul 10, 2015 to presentfactForm ADV
← BRIAN KLIMKEAdvisorregistration: current employment
Jul 10, 2015 to presentfactForm ADV
← SHANNON LEE OTTERBECKAdvisorregistration: current employment
Jun 9, 2015 to presentfactForm ADV
← COLLIN DANIEL MARTINAdvisorregistration: current employment
Jun 9, 2015 to presentfactForm ADV
← HRISTO STEFANOVAdvisorregistration: current employment
Mar 25, 2014 to presentfactForm ADV
← SUEHYUN KIMAdvisorregistration: previous registration
Jan 22, 2016 to Jul 11, 2018factForm ADV
← Benjamin James BlumAdvisorregistration: previous registration
Mar 1, 2018 to Jun 12, 2018factForm ADV
← David AlbinAdvisorregistration: previous registration
Nov 9, 2015 to Feb 20, 2018factForm ADV
← BARTON LIROAdvisorregistration: previous registration
Jun 9, 2015 to Dec 31, 2017factForm ADV
← CRAIG EDWARD COLUMBUSAdvisorregistration: previous registration
Jun 9, 2015 to Jul 7, 2017factForm ADV
← BRIAN DAVID WRIGHTAdvisorregistration: previous registration
Jun 9, 2015 to Jul 7, 2017factForm ADV
← LON JEFFREY GERBERAdvisorregistration: previous registration
Jun 9, 2015 to Jul 7, 2017factForm ADV
← AMI SHAHAdvisorregistration: previous registration
Jun 9, 2014 to Dec 31, 2015factForm ADV
← THOMAS RANDALL SAMUELSONAdvisorregistration: previous registration
Jun 9, 2015 to Jun 23, 2015factForm ADV

Owns (8)

← RODRIGUEZ, JOSE, LUISOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 11, 2020 to Sep 20, 2024factForm ADV
← FRIES, MATTHEW, NEIL KALANIOwnerVICE PRESIDENT, ownership code NA, individual
Sep 20, 2024 to Sep 20, 2024factForm ADV
← SMILEY, STANLEY, ROBERTOwnerVICE PRESIDENT, ownership code NA, individual
Nov 20, 2012 to Sep 20, 2024factForm ADV
← GOK, LISA, ANNEOwnerSECRETARY, ownership code NA, individual
Jun 11, 2015 to Sep 20, 2024factForm ADV
← Mizuguchi, Maura, RieOwnerCHIEF ACCOUNTING OFFICER, ownership code NA, individual
Mar 28, 2022 to Sep 20, 2024factForm ADV
← Chaffin, Gary, LynnOwnerTAX OFFICER, ownership code NA, individual
Mar 28, 2022 to Sep 20, 2024factForm ADV
← Van Havermaat, David, JamesOwnerASSISTANT SECRETARY, ownership code NA, individual
Mar 28, 2022 to Sep 20, 2024factForm ADV
← LEE, WINNIE, AI-LINGOwnerASSISTANT SECRETARY, ownership code NA, individual
Jun 3, 2022 to Sep 20, 2024factForm ADV

Controls (10)

← Taylor, Thomas, ByronOwnerCEO, PRESIDENT, ownership code NA, individual
Mar 28, 2022 to Sep 20, 2024factForm ADV
← GOLDMAN, GENE, FITZGERALDOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Nov 20, 2012 to Sep 20, 2024factForm ADV
← NEARY, JOSEPH, DANIELOwnerMANAGER, VP, ownership code NA, individual
Aug 27, 2019 to Sep 20, 2024factForm ADV
← BUCHHEISTER, JEFFREY, ROBERTOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 28, 2022 to Sep 20, 2024factForm ADV
← SHORES, ALLAN, KEITHOwnerTREASURER, ownership code NA, individual
Jul 14, 2017 to Sep 20, 2024factForm ADV
← ARETEC GROUP, INC.OwnerOWNER, ownership code E, domestic entity
Jun 6, 2016 to Sep 20, 2024factForm ADV
← CETERA FINANCIAL GROUP, INCOwnerSOLE MEMBER, ownership code E, domestic entity
Mar 28, 2024 to Sep 20, 2024factForm ADV
← GC THREE HOLDINGS, LLCOwnerOWNER, ownership code E, domestic entity
Mar 28, 2024 to Sep 20, 2024factForm ADV
← GC TWO HOLDINGS, INCOwnerOWNER, ownership code E, domestic entity
Mar 28, 2024 to Sep 20, 2024factForm ADV
← GC TWO INTERMEDIATE HOLDINGS, INCOwnerOWNER, ownership code E, domestic entity
Mar 28, 2024 to Sep 20, 2024factForm ADV

Moved with (4)

← CETERA INVESTMENT ADVISERS LLCRegistered adviser2 advisors, team lift out, same day
Aug 14, 2023 to Aug 14, 2023factForm ADV
→ COLUMBUS MACRO, LLCRegistered adviser3 advisors, team lift out, same day
Jul 7, 2017 to Jun 30, 2017factForm ADV
← FIRST ALLIED ADVISORY SERVICES, INC.Registered adviser2 advisors, team lift out, same day
Nov 12, 2020 to Nov 9, 2015factForm ADV
← FIRST ALLIED ASSET MANAGEMENT, INC.Registered adviser3 advisors, firm absorbed
Oct 30, 2015 to Jun 9, 2015factForm ADV

Dated events

Occurred
Aug 14, 2023
Team lift-out
2 advisors left Cetera Investment Advisers LLC (ST Paul, MN) for Cetera Investment Management LLC on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Mar 28, 2022
Control person left
Alan Gregory Olson (Assistant Secretary) no longer on Schedule A of Cetera Investment Management Llc (listed 2021-11-17, absent 2022-03-28)
Form ADVobserved 5 days ago
Occurred
Mar 28, 2022
Control person joined
Byron Thomas Taylor (Ceo, President) appeared on Schedule A of Cetera Investment Management Llc
Form ADVobserved 5 days ago
Occurred
Mar 28, 2022
Control person joined
Robert Jeffrey Buchheister (Chief Financial Officer) appeared on Schedule A of Cetera Investment Management Llc
Form ADVobserved 5 days ago
Occurred
Nov 4, 2020
Control person joined
Alan Gregory Olson (Assistant Secretary) appeared on Schedule A of Cetera Investment Management Llc
Form ADVobserved 5 days ago
Occurred
Nov 4, 2020
Control person left
Edward Gregory Olson (Assistant Secretary) no longer on Schedule A of Cetera Investment Management Llc (listed 2020-09-01, absent 2020-11-04)
Form ADVobserved 5 days ago
Occurred
Mar 11, 2020
Control person left
L Jose Rodriguez (Chief Compliance Officer & Secretary) no longer on Schedule A of Cetera Investment Management Llc (listed 2020-01-14, absent 2020-03-11)
Form ADVobserved 5 days ago
Occurred
Aug 27, 2019
Control person left
Nicholas Adam Antoniades (Manager) no longer on Schedule A of Cetera Investment Management Llc (listed 2019-06-27, absent 2019-08-27)
Form ADVobserved 5 days ago
Occurred
Aug 27, 2019
Control person joined
Daniel Joseph Neary (Manager/Director) appeared on Schedule A of Cetera Investment Management Llc
Form ADVobserved 5 days ago
Occurred
Nov 20, 2012
First Form ADV filing
Cetera Investment Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:145809ce-5759-cd9e-dab0-90f44195ee1f
First observed: Nov 20, 2012
Last observed: Aug 11, 2026 41 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CETERA INVESTMENT MANAGEMENT LLC

CRD 165436

SCHAMBURG, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:145809ce-5759-cd9e-dab0-90f44195ee1f

Data as of Aug 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:56 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

SHANNON LEE OTTERBECK

n/a

SAN DIEGO, CA

yes

GENE FITZGERALD GOLDMAN

Chartered Financial Analyst

EL SEGUNDO, CA | LOS ANGELES, CA | SANTA MONICA, CA

n/a

yes

RICHARD PAUL ANDERSON

n/a

ST CLOUD, MN

n/a

yes

ROSS KRONHOLM

Certified Financial Planner

ST PAUL, MN

yes

Tyler Akerlind

Chartered Financial Analyst

SAINT PAUL, MN | EDEN PRAIRIE, MN

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ARETEC GROUP, INC.

Owner

yes

10/2009

Jun 6, 2016

Sep 20, 2024

BUCHHEISTER, JEFFREY, ROBERT

CHIEF FINANCIAL OFFICER

yes

04/2021

Mar 28, 2022

Sep 20, 2024

CETERA FINANCIAL GROUP, INC

SOLE MEMBER

yes

10/2009

Mar 28, 2024

Sep 20, 2024

CETERA FINANCIAL GROUP, INC.

SOLE MEMBER

yes

11/2012

Nov 20, 2012

Sep 20, 2024

CETERA FINANCIAL HOLDINGS, INC.

Owner

yes

10/2009

Nov 20, 2012

Sep 20, 2024

GC THREE HOLDINGS, LLC

Owner

yes

07/2018

Mar 28, 2024

Sep 20, 2024

GC TWO HOLDINGS, INC

Owner

yes

07/2018

Mar 28, 2024

Sep 20, 2024

GC TWO INTERMEDIATE HOLDINGS, INC

Owner

yes

12/2012

Mar 28, 2024

Sep 20, 2024

GOLDMAN, GENE, FITZGERALD

CHIEF INVESTMENT OFFICER

yes

07/2017

Nov 20, 2012

Sep 20, 2024

NEARY, JOSEPH, DANIEL

MANAGER, VP

yes

05/2019

Aug 27, 2019

Sep 20, 2024

SHORES, ALLAN, KEITH

Treasurer

yes

07/2017

Jul 14, 2017

Sep 20, 2024

Taylor, Thomas, Byron

CEO, PRESIDENT

yes

04/2021

Mar 28, 2022

Sep 20, 2024

Chaffin, Gary, Lynn

TAX OFFICER

04/2021

Mar 28, 2022

Sep 20, 2024

FRIES, MATTHEW, NEIL KALANI

VICE PRESIDENT

07/2024

Sep 20, 2024

GOK, LISA, ANNE

Secretary

04/2021

Jun 11, 2015

Sep 20, 2024

LEE, WINNIE, AI-LING

ASSISTANT SECRETARY

05/2022

Jun 3, 2022

Sep 20, 2024

Mizuguchi, Maura, Rie

CHIEF ACCOUNTING OFFICER

04/2021

Mar 28, 2022

Sep 20, 2024

RODRIGUEZ, JOSE, LUIS

CHIEF COMPLIANCE OFFICER

11/2018

Mar 11, 2020

Sep 20, 2024

SMILEY, STANLEY, ROBERT

VICE PRESIDENT

11/2012

Nov 20, 2012

Sep 20, 2024

Van Havermaat, David, James

ASSISTANT SECRETARY

04/2021

Mar 28, 2022

Sep 20, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CETERA INVESTMENT ADVISERS LLC

n/a

Bd affiliated wealth

$257B

yes

n/a

CETERA ADVISOR NETWORKS LLC

n/a

Former SEC adviser

$47B

yes

n/a

AVANTAX ADVISORY SERVICES, INC.

n/a

Former SEC adviser

$46B

yes

n/a

CETERA ADVISORS LLC

n/a

Former SEC adviser

$22B

yes

n/a

AVANTAX PLANNING PARTNERS, INC.

n/a

Bd affiliated wealth

$7.6B

yes

n/a

THE RETIREMENT PLANNING GROUP, LLC

n/a

Independent wealth

$4.2B

yes

n/a

CETERA INVESTMENT SERVICES LLC

n/a

Former SEC adviser

$1.2B

yes

n/a

CETERA ADVISORY SERVICES LLC

n/a

No RAUM reported

yes

n/a

ASSOCIATES IN EXCELLENCE, INC.

n/a

yes

n/a

AVANTAX INVESTMENT SERVICES, INC.

n/a

yes

n/a

CETERA ADVISOR NETWORKS INSURANCE SERVICES LLC

n/a

yes

n/a

CETERA ADVISORS INSURANCE SERVICES LLC

n/a

yes

n/a

CETERA FINANCIAL SPECIALISTS LLC

n/a

yes

n/a

CETERA INSURANCE AGENCY LLC

n/a

yes

n/a

CETERA TRUST COMPANY, N.A.

n/a

yes

n/a

FASI INSURANCE SERVICES, INC.

n/a

yes

n/a

FASI OF TX, INC.

n/a

yes

n/a

FIRST ALLIED RETIREMENT SERVICES, INC.

n/a

yes

n/a

NFG BROKERAGE, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

EL SEGUNDO

United States

yes

SAN DIEGO

United States

yes

SAINT PAUL

United States

yes

ST CLOUD

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 1, 2026

n/a

2024

Apr 9, 2025

n/a

2023

Mar 28, 2024

n/a

2022

Mar 29, 2023

n/a

2021

Mar 28, 2022

n/a

2020

Mar 26, 2021

n/a

2019

Mar 17, 2020

n/a

2018

Mar 14, 2019

n/a

2017

Mar 28, 2018

n/a

2016

Mar 31, 2017

$173M

n/a

2015

Mar 30, 2016

$4.4B

$403M

n/a

2014

Apr 14, 2015

n/a

2013

Mar 21, 2014

n/a

2012

Apr 1, 2013

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

COLUMBUS MACRO, LLC

Jul 7, 2017

Jun 30, 2017

SCOTTSDALE, AZ

Team lift out

Other

21.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CETERA INVESTMENT ADVISERS LLC

Aug 14, 2023

ST PAUL, MN

Team lift out

Other

0.0%

FIRST ALLIED ADVISORY SERVICES, INC.

Nov 12, 2020

Nov 9, 2015

SAN DIEGO, CA

Channel change

Other

0.5%

FIRST ALLIED ASSET MANAGEMENT, INC.

Oct 30, 2015

Jun 9, 2015

SCOTTSDALE, AZ

Firm absorbed

Other

50.0%

FIRST ALLIED ASSET MANAGEMENT, INC.

Oct 30, 2015

Jun 9, 2015

SAN DIEGO, CA

Team lift out

Other

33.3%