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.

Current firm

CETERA INVESTMENT ADVISERS LLC

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Aug 1, 2012earliest registration or exam on IAPD

Years in industry

14derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S66

First exam

Aug 1, 2022

First registration

Sep 29, 2022

Dual registered

yes, broker-dealer

IAPD individual key

7629327

• Occurred

  Jul 22, 2024
  Advisor changed firm

  James Cawley left Strategy Asset Managers L.L.C. for Cetera Investment Advisers Llc (registered 2024-11-29)

  Form ADVobserved 6 days ago
• Occurred

  Feb 6, 2023
  Advisor changed firm

  James Cawley left Equitable Advisors, Llc for Strategy Asset Managers L.L.C. (registered 2023-02-07)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:39f540b9-0683-8122-c9e9-2cdb2bbf72c9

First observed

Sep 29, 2022

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed 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.