DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Cetera Investment Advisers LLC

Broker-dealer affiliated wealth managerSchaumburg, IllinoisCRD 105644SEC 801-20406website IAPD

Latest filing Aug 13, 2026

First filing on the tape Jan 27, 2012 · 181 filings

SEC status approved since Jan 13, 1984

RAUM

$257B

reported, Item 5.F

Discretionary

81%

of RAUM

Private clients

96%

$245B individuals and HNW

Advisors

10,475

registered through the firm on IAPD

RAUM per advisor

$24.5M

derived; firm RAUM over IAPD count

Employees

10,251

9,049 advisory (5.B.1)

Offices

6,584

beyond the principal office

Private funds

reported on Schedule D

History

181 filings and snapshots on the tape

RAUM$257B as of Aug 13, 2026

Mar 28, 2012$3.0B then

HNW client RAUM$70B as of Aug 13, 2026

Mar 29, 2018$1.9B then

State-registered IARs (5.B.3)10,240 as of Aug 13, 2026

Apr 1, 20131,006 then

Employees (5.A)10,251 as of Aug 13, 2026

Apr 1, 20131,006 then

Private funds: no history

RAUM +57% over the last fiscal year+97% a year over threeIARs 7,691 to 10,240offices 4,816 to 6,584

Practice profile

derived from the filing of Aug 13, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $24.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 77derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $880,823derivedHNW RAUM over HNW clients
Average account: $315,511derivedRAUM over accounts (5.F.2.f)
Discretionary: 81%derivedof RAUM
Institutional: 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.6derived6,585 offices incl. principal (1.F.5)
RAUM growth, one year: +57%derivedbetween the last two annual amendments
Advisor growth, one year: +33%derivedItem 5.B.3 between annual amendments
Client growth, one year: +39%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients: 16,968reportedItem 5.H
Wrap fee program: $356BreportedItem 5.I
Custody: $244B, 755,570 clientsreportedItem 9.A
Ownership: controlled by a public reporting companyderived
Firms absorbed, 24 months: 1derivedhalf or more of a firm's advisors moved here within 14 days
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
a related person acts as qualified custodian (9.D.2)
controlled by a public reporting company (10.A)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$176B68%
High-net-worth individuals$70B27%
Corporations and businesses$5.9B2.3%
Pension and profit-sharing plans$3.5B1.3%
Charitable organizations$1.9B0.8%
State and municipal entities$113M0.0%

Individual clients: 722,373reported
HNW clients: 79,279reported
Pension plan clients: 6,324reported
Charitable clients: 2,036reported
Accounts: 813,961reported
Financial planning clients: 16,968reported
Wrap fee programs: $178B sponsored, $178B managedreported
Custody of client assets: $244B for 755,570 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=10094.0derived

Advisors registered through the firm

10,482 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Dorothy Marguerite BelvilleCertified Financial Planner	Monterey, Ca	Jan 1, 1995	44 y	3
Bryan Paul BogenCertified Financial Planner	Hamden, Ct	Jul 10, 1995	34 y	2
Stacey Gibble BarrickCertified Financial Planner	Camp Hill, Pa	Nov 8, 1995	40 y	2
Jack Mike BrkichCertified Financial Planner	Santa Ana, Ca	Jul 8, 1997	35 y	0
Mark Gerard FinkeCertified Financial Planner	St. Louis, Mo	Nov 19, 1997	36 y	0
Thomas Foster Mengel	Poplar Bluff, Mo	Nov 19, 1997	46 y	0
Patrick Francis Naughton	St. Charles, Il	Feb 16, 1998	38 y	0
Leonard Wayne Metzl	Elmhurst, Il	Feb 16, 1998	41 y	0
David Alan Kalfen	Northbrook, Il	Feb 16, 1998	41 y	0
Don Wayne BarnesCertified Financial Planner	Burr Ridge, Il	Feb 16, 1998	48 y	0
Stephen Wayne Defilippis	Sunny Isles Beach, Fl	Feb 16, 1998	39 y	0
James Edward Tromp	Manhattan, Il	Feb 16, 1998	45 y	0
Raymond William Weber	Peru, Il	Feb 16, 1998	34 y	0
A. Bruce Otto	Minier, Il	Feb 16, 1998	35 y	0
Ronald S Kot	Aurora, Il	Feb 16, 1998	49 y	0
Lawrence Arnold Goldman	Chicago, Il	Feb 16, 1998	36 y	0
Van Robin JonkerPersonal Financial Specialist	Tinley Park, Il	Feb 16, 1998	49 y	0
Beverly Rachel MooreCertified Financial Planner	Donna, Tx	Feb 16, 1998	39 y	0
Todd Wesley Zastrow	Oak Brook, Il	Feb 16, 1998	37 y	1
Clara Sue BogenCertified Financial Planner	Lake Forest, Il	Feb 16, 1998	45 y	0
Joseph Lee Kula	Naples, Fl	Feb 16, 1998	39 y	0
Kenneth John Kolnicki	Downers Grove, Il	Feb 16, 1998	51 y	0
J Terence GallagherCertified Financial Planner	Lombard, Il	Feb 17, 1998	39 y	1
Jeffrey Michael AntosCertified Financial Planner	Wheeling, Il	Feb 17, 1998	38 y	0
Cindy J BurkeCertified Financial Planner	Warrenton, Mo	Feb 27, 1998	42 y	0
James William HoganCertified Financial Planner	Downers Grove, Il	Mar 16, 1998	39 y	0
Ahmad Bashir HusamiCertified Financial Planner	Fullerton, Ca	Mar 26, 1998	40 y	2
Gregory Arthur Pfaff	Naperville, Il	May 22, 1998	37 y	0
Thomas John MckinnonPersonal Financial Specialist	Hingham, Ma	Aug 19, 1998	48 y	0
Timothy David MaclellanPersonal Financial Specialist	Hingham, Ma	Aug 19, 1998	45 y	0
Robert Michael SchoenCertified Financial Planner	Itasca, Il	Sep 24, 1998	47 y	0
Jeffrey Brian MarksChartered Financial Consultant	Colorado Springs, Co	Jan 1, 1999	42 y	2
John Francis CoffeyPersonal Financial Specialist	North Aurora, Il	Apr 12, 1999	35 y	0
Michael Jason HodgeCertified Financial Planner	Northboro, Ma	Oct 28, 1999	31 y	0
Michael John KolnickiCertified Financial Planner	Downers Grove, Il	Nov 29, 1999	36 y	0
Weihsiung Liang	Chino Hills, Ca	Dec 26, 1999	37 y	0
Eugene Lee Dierking	Iowa City, Ia	Dec 29, 1999	26 y	0
Howard Mark Goldstein	Sudbury, Ma	Jan 1, 2000	37 y	0
Michael Thomas Bearducci	Cleveland, Oh	Jan 1, 2000	27 y	1
Jeffrey Charles KnoxChartered Financial Consultant	Jupiter, Fl	Jan 1, 2000	52 y	2

All 10,482 advisors at Cetera Investment Advisers LLC

Advisor movement

554 left, 568 joined in 12 months

net +14 in 12 months133 left in 90 days116 joined in 90 daysdeparture rate 5.3% of current headcount1,403 left over 36 months

Left, latest

Gregory Alan Peters to Lafayette Square Financial Advisors, Inc.
Sep 15, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Vladislav Zagranichny to Legacy Financial Advisors
Sep 15, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
Evans Lee Taylor to Ameriprise Financial Services, LLC
Sep 14, 2026 · Affiliated broker-dealer or bank to another
Eric Stephen Lovett to LPL Financial LLC
Sep 14, 2026 · Affiliated broker-dealer or bank to another
Timothy Preston Kirkham to Raymond James & Associates, Inc.
Sep 14, 2026 · Affiliated broker-dealer or bank to another
Christopher T Van Tassell to LPL Financial LLC
Sep 10, 2026 · Affiliated broker-dealer or bank to another
Wenbo Jiang to Citigroup Global Markets Inc.
Sep 9, 2026 · Affiliated broker-dealer or bank to another
Scott Michael Wallace to Kovack Advisors, Inc.
Sep 4, 2026 · Affiliated broker-dealer or bank to another
Kurtis Anderson to Pfg Advisors
Sep 3, 2026 · Affiliated broker-dealer or bank to independent RIA
Bruno Peraza to Independent Financial Group, LLC
Sep 3, 2026 · Affiliated broker-dealer or bank to another
Paulson Edum to Td Private Client Wealth LLC
Sep 2, 2026 · Affiliated broker-dealer or bank to another
Ralph Eugene Winn to LPL Financial LLC
Aug 31, 2026 · Affiliated broker-dealer or bank to another
Michael Phillip Henry to Savvy
Aug 31, 2026 · Affiliated broker-dealer or bank to independent RIA
Valentina Maria Canonaco to Forum Financial Management, LP
Aug 28, 2026 · Affiliated broker-dealer or bank to independent RIA
Theodore Partheder Chibnall to Kestra Advisory Services, LLC
Aug 27, 2026 · Affiliated broker-dealer or bank to another

Joined, latest

Joel Daniel Potts from Hamilton Capital
Sep 16, 2026 · RIA to affiliated broker-dealer or bank
Jeremy W Bierlein from Td Private Client Wealth LLC
Sep 15, 2026 · Affiliated broker-dealer or bank to another
Andrew Bryan Anderson from Fisher Investments
Sep 15, 2026 · RIA to affiliated broker-dealer or bank
Tyler Jonathan Matchack from MML Investors Services, LLC
Sep 14, 2026 · Affiliated broker-dealer or bank to another
Schanice Lanae' Staples from Northwestern Mutual Investment Services,LLC
Sep 11, 2026 · Other
Cynthia Alda Doussard from Commonwealth Financial Network
Sep 11, 2026 · Affiliated broker-dealer or bank to another
Jesica Andrews from Raymond James & Associates, Inc.
Sep 8, 2026 · Affiliated broker-dealer or bank to another
Mitchell Thunell from Robinhood Asset Management
Sep 8, 2026 · Affiliated broker-dealer or bank to another
Christine Jane Mclean from Commonwealth Financial Network
Sep 8, 2026 · Affiliated broker-dealer or bank to another
Melissa A Geracimos from Aurelius Family Office, LLC
Sep 4, 2026 · RIA to affiliated broker-dealer or bank
Laura Noel Woods from Commonwealth Financial Network
Sep 4, 2026 · Affiliated broker-dealer or bank to another
Matthew John Draganchuk from Commonwealth Financial Network
Sep 4, 2026 · Affiliated broker-dealer or bank to another
Aaron Myers Lyon from Commonwealth Financial Network
Sep 4, 2026 · Affiliated broker-dealer or bank to another
Nicholas Peter Honsberg from Tip Group LLC
Sep 2, 2026 · Other
Brian Ashley Nelson from Osaic Wealth, Inc.
Sep 2, 2026 · Affiliated broker-dealer or bank to another

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for Kovack Advisors, Inc.
Aug 25, 2026 · Boerne, Tx
3 left for Kestra Advisory Services, LLC
Aug 24, 2026 · St Louis, Mo
3 left for LPL Financial LLC
Aug 17, 2026 · Stuart, Fl
3 left for Kestra Advisory Services, LLC
Aug 12, 2026 · Fairview Hghts, Il
11 left for LPL Financial LLC
Aug 5, 2026 · Waterloo, Ia
2 left for Osaic Advisory Services, LLC
Jul 29, 2026 · Sandy, Ut
5 left for East West Wealth Advisors LLC
Jul 29, 2026 · Pasadena, Ca
2 left for Diversified, LLC
Jul 24, 2026 · Raleigh, Nc

5 joined from Commonwealth Financial Network
Sep 14, 2026 · Lutz, Fl
20 joined from LPL Financial LLC
Sep 11, 2026 · Roseville, Ca
2 joined from LPL Financial LLC
Sep 11, 2026 · Hales Corners, Wi
2 joined from Osaic Wealth, Inc.
Sep 2, 2026 · Rainbow City, Al
2 joined from LPL Financial LLC
Aug 28, 2026 · Westford, Ma
4 joined from MML Investors Services, LLC
Aug 26, 2026 · Newtown, Ct
2 joined from Commonwealth Financial Network
Aug 20, 2026 · Annapolis, Md
2 joined from MML Investors Services, LLC
Aug 19, 2026 · East Hills, Ny

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Robert Jeffrey Buchheister · Chief Financial Officer, Managercontrol
since 05/2021 · owns less than 5%
Lynn Gary Chaffin · Tax Officercontrol
since 05/2021 · owns less than 5%
Anne Lisa Gok · Secretarycontrol
since 05/2021 · owns less than 5%
Andrew Thomas Gooley · Managercontrol
since 05/2021 · owns less than 5%
Marie Kristy Haley · Chief Compliance Officer, Advisorycontrol
since 11/2015 · owns less than 5%
Kimberley Holweger · Chief Operating Officer And Principal Operations Officercontrol
since 03/2023 · owns less than 5%
George Ronald Krueger · Vice Presidentcontrol
since 07/2020 · owns less than 5%
Rie Maura Mizuguchi · Chief Accounting Officercontrol
since 05/2021 · owns less than 5%
Daniel Joseph Neary · Vp, Manager, Ceo And Presidentcontrol
since 05/2019 · owns less than 5%
Robert Stanley Smiley · Vice Presidentcontrol
since 04/2012 · owns less than 5%
Byron Thomas Taylor · Chief Executive Officer & Presidentcontrol
since 12/2019 · owns less than 5%
James David Van Havermaat · Asst. Secretarycontrol
since 04/2021 · owns less than 5%
Serge Budevich · Vice President, Tax Officer
since 11/2024 · owns less than 5%
Neil Kalani Matthew Fries · Vice President
since 08/2024 · owns less than 5%
Thomas William Holloran · Vice President
since 01/2024 · owns less than 5%
M Scott Kirwin · Assistant Secretary
since 05/2027 · owns less than 5%
Ai-Ling Winnie Lee · Assistant Secretary
since 05/2022 · owns less than 5%
Christopher Todd Mackay · Manager
since 01/2025 · owns less than 5%
James Michael Molnar · Vice President
since 03/2026 · owns less than 5%
Bradley Erik Niland · Vice President
since 06/2026 · owns less than 5%
D Edward Obrien · Manager
since 06/2026 · owns less than 5%
Renee Leann Rummel · Vice President
since 09/2017 · owns less than 5%
Keith Allan Shores · Treasurer
since 04/2021 · owns less than 5%
Tamas Vays · Secretary
since 12/2024 · owns less than 5%
David Andrew Watts · Vice President
since 09/2025 · owns less than 5%

Entity owners

Cetera Financial Specialists · Sole Member
direct · owns 75% or more
Cetera Financial Specialists Services LLC · Sole Member
direct · owns 75% or more
Aretec Group, Inc. · Owner
indirect · owns 75% or more of Cetera Financial Holdings, Inc.
Cetera Financial Group, Inc. · Sole Member
indirect · owns 75% or more of Cetera Financial Specialists Services LLC
Cetera Financial Holdings, Inc. · Owner
indirect · owns 75% or more of Cetera Financial Group, Inc.
Gc Two Holdings, Inc · Owner
indirect · owns 75% or more of Gc Two Intermediate Holdings, Inc
Gc Two Intermediate Holdings, Inc · Owner
indirect · owns 75% or more of Aretec Group, Inc.
Gc Three Holdings, LLC · Owner
indirect · owns 75% or more of Gc Two Holdings, Inc

Related persons

Schedule D 7.A

Associates In Excellence, Inc.
LP sponsorn
Avantax Advisory Services
investment advisernRAUM $46B
Avantax Investment Services, Inc.
broker-dealern
Avantax Planning Partners, Inc.
investment advisernRAUM $7.6B
Cetera Advisor Networks Insurance Services LLC
real estaten
Cetera Advisor Networks LLC
broker-dealernRAUM $47B
Cetera Advisors Insurance Services LLC
real estaten
Cetera Advisors LLC
broker-dealerinvestment advisernRAUM $22B
Cetera Advisory Services LLC
investment advisern
Cetera Financial Specialists LLC
broker-dealerreal estaten
Cetera Insurance Agency, LLC
real estaten
Cetera Investment Management LLC
investment advisern
Cetera Investment Services LLC
broker-dealerreal estatecustodiannRAUM $1.2B
Cetera Trust Company, N.A.
n
Fasi Insurance Services, Inc.
real estaten
Fasi Of Tx, Inc.
real estaten
First Allied Retirement Services, Inc.
LP sponsorn
Nfg Brokerage, LLC
real estaten
Cetera Planning Partners
investment advisernRAUM $4.2B

Advisers that list Cetera Investment Advisers LLC as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out
St Louis, Mo	150	16	10	1
San Diego, Ca	128	14	15	2
Dallas, Tx	124	16	5
Minneapolis, Mn	117	13	2
El Segundo, Ca	116	28	1
Phoenix, Az	116	19	11
Omaha, Ne	112	13	2
Schaumburg, Il · principal	110	10	3
Scottsdale, Az	108	18	3
Houston, Tx	102	9	6	1
New York, Ny	95	9	4
Overland Park, Ks	81	10	5
St Cloud, Mn	75	9	0
Honolulu, Hi	73	12	4	1
Minnetonka, Mn	65	5	1
Tampa, Fl	63	9	3
Indianapolis, In	61	9	4
Atlanta, Ga	56	5	7	1
Pasadena, Ca	54	10	4	1
Midlothian, Va	51	5	1

All 60 offices

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 7 since 2015, 1 in 24 monthsderived
Advisors acquired: 53derived
Still registered after 90 days: 49% of 53derived
After 180 days: 49% of 53derived
After 365 days: 49% of 53derived
After 730 days: 16% of 32derived
Team lift-outs after: 273derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices

Schedule D 1.F, the 25 largest

St. Louis, MO87 employees
Minneapolis, MN69 employees
Omaha, NE48 employees
Scottsdale, AZ45 employees
Midlothian, VA40 employees
Newark, DE38 employees
San Diego, CA34 employees
Newport Beach, CA32 employees
Phoenix, AZ28 employees
Concord, CA28 employees
Los Angeles, CA26 employees
New York, NY24 employees
Parsippany, NJ24 employees
Saint Paul, MN23 employees
Lombard, IL23 employees
Schaumburg, IL22 employees
Phoenix, AZ22 employees
Houston, TX22 employees
Tigard, OR22 employees
Daniel Island, SC22 employees
San Diego, CA21 employees
Latham, NY21 employees
Hoover, AL21 employees
Germantown, TN21 employees
Overland Park, KS21 employees

ADV anomalies

9 against comparable advisers; where to look, not conclusions

high post acquisition advisor attritionCombination · filing Sep 17, 2026
49.0% of 53 advisors acquired in 7 absorbed firms were still registered here a year later; the median acquirer keeps 90.0% and the bottom decile 82.0%. A lower bound: industry exits and re-registration to an affiliated CRD count as departures
peers: ACQUIRERS_30_PLUS_MEASURED (40)
control person changedChange between filings · filing Aug 13, 2026
HOLWEGER, KIMBERLEY (CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER) left Schedule A between the filings of 2024-03-28 and 2026-08-13
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Aug 13, 2026
Taylor, Thomas, Byron (CHIEF EXECUTIVE OFFICER & PRESIDENT) left Schedule A between the filings of 2024-03-28 and 2026-08-13
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Aug 13, 2026
Gooley, Thomas, Andrew (MANAGER) left Schedule A between the filings of 2024-03-28 and 2026-08-13
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Aug 13, 2026
Chaffin, Gary, Lynn (TAX OFFICER) left Schedule A between the filings of 2024-03-28 and 2026-08-13
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Aug 13, 2026
Van Havermaat, David, James (ASST. SECRETARY) appeared on Schedule A between the filings of 2024-03-28 and 2026-08-13
peers: affiliated wealth managers, $20B and over (50)
new owner headcount expandsCombination · filing Apr 1, 2026
CETERA FINANCIAL SPECIALISTS joined Schedule A on the filing of 2026-08-13; advisors 7691.0 to 10240.0 between the annual amendments of 2025-04-09 and 2026-04-01
peers: affiliated wealth managers, $20B and over (50)
growth on all axesCombination · filing Apr 1, 2026
RAUM, offices and advisors all grew 25 percent or more in one year: a platform in expansion or an acquisition. RAUM $163,792,814,520 to $256,813,748,739, advisors 7691 to 10240, private clients 575196 to 801652, offices 4816 to 6584 (2025-04-09 to 2026-04-01)
peers: affiliated wealth managers, $20B and over (50)
RAUM up 50 %Change between filings · filing Apr 1, 2026
RAUM (Item 5.F) moved from $163,792,814,520 to $256,813,748,739 (+57.0%) between the annual amendments of 2025-04-09 and 2026-04-01; the peer median change was +20.0% (50 comparable advisers, 94.0th percentile of changes)
peers: affiliated wealth managers, $20B and over (50) · 94% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 584,487 to 813,961
Jan 8, 2026 to Mar 24, 2026
Advisory employees · 6,825 to 9,049
Jan 8, 2026 to Mar 24, 2026
BD registered reps · 7,670 to 10,094
Jan 8, 2026 to Mar 24, 2026
Charity clients · 2,054 to 2,036
Jan 8, 2026 to Mar 24, 2026
Corporate clients · 2,552 to 3,884
Jan 8, 2026 to Mar 24, 2026
HNW clients · 79,203 to 79,279
Jan 8, 2026 to Mar 24, 2026
Individual clients · 495,993 to 722,373
Jan 8, 2026 to Mar 24, 2026
Pension plan clients · 4,656 to 6,324
Jan 8, 2026 to Mar 24, 2026
Assets in custody · $152B to $244B
Jan 8, 2026 to Mar 24, 2026
Employees · 7,705 to 10,251
Jan 8, 2026 to Mar 24, 2026
Insurance-licensed employees · 278 to 336
Jan 8, 2026 to Mar 24, 2026
State-registered IARs · 7,691 to 10,240
Jan 8, 2026 to Mar 24, 2026
Other offices · 4,816 to 6,584
Jan 8, 2026 to Mar 24, 2026
Discretionary RAUM · $128B to $209B
Jan 8, 2026 to Mar 24, 2026
HNW RAUM · $68B to $70B
Jan 8, 2026 to Mar 24, 2026
Individual RAUM · $89B to $176B
Jan 8, 2026 to Mar 24, 2026
Non-discretionary RAUM · $36B to $48B
Jan 8, 2026 to Mar 24, 2026
Pension RAUM · $2.1B to $3.5B
Jan 8, 2026 to Mar 24, 2026
RAUM · $164B to $257B
Jan 8, 2026 to Mar 24, 2026
Wrap assets (manager) · $113B to $178B
Jan 8, 2026 to Mar 24, 2026
Wrap assets (sponsor) · $113B to $178B
Jan 8, 2026 to Mar 24, 2026
Financial planning clients · More than 500 to More than 500
Jun 9, 2025 to Jul 24, 2025
Accounts · 423,554 to 584,487
Feb 7, 2025 to Apr 9, 2025
Advisory employees · 5,928 to 6,825
Feb 7, 2025 to Apr 9, 2025
BD registered reps · 6,626 to 7,670
Feb 7, 2025 to Apr 9, 2025
Charity clients · 1,550 to 2,054
Feb 7, 2025 to Apr 9, 2025
Corporate clients · 1,958 to 2,552
Feb 7, 2025 to Apr 9, 2025
HNW clients · 81,261 to 79,203
Feb 7, 2025 to Apr 9, 2025
Individual clients · 334,765 to 495,993
Feb 7, 2025 to Apr 9, 2025
Pension plan clients · 3,980 to 4,656
Feb 7, 2025 to Apr 9, 2025
Assets in custody · $96B to $152B
Feb 7, 2025 to Apr 9, 2025
Employees · 6,648 to 7,705
Feb 7, 2025 to Apr 9, 2025
Insurance-licensed employees · 287 to 278
Feb 7, 2025 to Apr 9, 2025
State-registered IARs · 6,645 to 7,691
Feb 7, 2025 to Apr 9, 2025
Other offices · 1,614 to 4,816
Feb 7, 2025 to Apr 9, 2025
Discretionary RAUM · $78B to $128B
Feb 7, 2025 to Apr 9, 2025
HNW RAUM · $36B to $68B
Feb 7, 2025 to Apr 9, 2025
Individual RAUM · $64B to $89B
Feb 7, 2025 to Apr 9, 2025
Non-discretionary RAUM · $26B to $36B
Feb 7, 2025 to Apr 9, 2025
Pension RAUM · $1.4B to $2.1B
Feb 7, 2025 to Apr 9, 2025

Signals

60 dated events

Connor Anthony Cuneo no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Julio Rodriguez no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Victor Manuel Lopez no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Ronald Charles Voss no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Nancy Marucci-Pizzuta no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Joel Daniel Potts registered as an investment adviser representative at Cetera Investment Advisers Llc
Sep 16, 2026 · Advisor registered · fact
Andrew John Sansone added a CT registration at Cetera Investment Advisers Llc
Sep 16, 2026 · New state registration · fact
David Corley added a TX registration at Cetera Investment Advisers Llc
Sep 16, 2026 · New state registration · fact
Gilbert Velez Ramirez added a TX registration at Cetera Investment Advisers Llc
Sep 16, 2026 · New state registration · fact
Brianna Lynn Ziegler no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-15 feed)
Sep 15, 2026 · Advisor registration ended · derived
Matthew John Draganchuk no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-15 feed)
Sep 15, 2026 · Advisor registration ended · derived
Jeremy W Bierlein registered as an investment adviser representative at Cetera Investment Advisers Llc
Sep 15, 2026 · Advisor registered · fact
Jeffrey Thomas Williams no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-15 feed)
Sep 15, 2026 · Advisor registration ended · derived
Hayden Wayne Swinehart registered as an investment adviser representative at Cetera Investment Advisers Llc
Sep 15, 2026 · Advisor registered · fact
Evan Lillard Young registered as an investment adviser representative at Cetera Investment Advisers Llc
Sep 15, 2026 · Advisor registered · fact
Nathaniel T Greenwood registered as an investment adviser representative at Cetera Investment Advisers Llc
Sep 15, 2026 · Advisor registered · fact
Andrew Bryan Anderson registered as an investment adviser representative at Cetera Investment Advisers Llc
Sep 15, 2026 · Advisor registered · fact
William Robert Sturges added a MA registration at Cetera Investment Advisers Llc
Sep 15, 2026 · New state registration · fact
Deborah A Sniadowski-Lindeke added a CO registration at Cetera Investment Advisers Llc
Sep 15, 2026 · New state registration · fact
Gregory Alan Peters left Cetera Investment Advisers LLC for Lafayette Square Financial Advisors, Inc. (registered 2026-09-08)
Sep 15, 2026 · Advisor changed firm · fact
Vladislav Zagranichny left Cetera Investment Advisers LLC for Legacy Financial Advisors (registered 2026-09-02)
Sep 15, 2026 · Advisor changed firm · fact
Rebecca Kathryne Hyatt registered as an investment adviser representative at Cetera Investment Advisers Llc
Sep 14, 2026 · Advisor registered · fact
Benjamin Michael Osinski no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-14 feed)
Sep 14, 2026 · Advisor registration ended · derived
Michael Corbin Brutout no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-14 feed)
Sep 14, 2026 · Advisor registration ended · derived
Jeremy Bush no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-14 feed)
Sep 14, 2026 · Advisor registration ended · derived
Matthew James Schmit no longer holds an investment adviser registration (last listed at Cetera Investment Advisers Llc on the 2026-09-14 feed)
Sep 14, 2026 · Advisor registration ended · derived
Tyler Jonathan Matchack registered as an investment adviser representative at Cetera Investment Advisers Llc
Sep 14, 2026 · Advisor registered · fact
Kia Britt registered as an investment adviser representative at Cetera Investment Advisers Llc
Sep 14, 2026 · Advisor registered · fact
Joseph Angelo Lunati added a TX registration at Cetera Investment Advisers Llc
Sep 14, 2026 · New state registration · fact
Brenda S Dozier added a TX registration at Cetera Investment Advisers Llc
Sep 14, 2026 · New state registration · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business phone: 800-245-0467reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 844-337-2212reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 888-406-2444reportedpublished by the firm, firm site, Sep 15, 2026
Website: CETERA.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 310-257-7880reportedpublic record, Form ADV, Aug 13, 2026
Team page: cetera.com/about-cetera/leadershipreportedpublished by the firm, firm site, Sep 15, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $24.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026