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.
Former SEC-registered adviser
Cetera Advisor Networks LLC
Latest filing Jun 4, 2023
First filing on the tape Mar 28, 2012 · 156 filings
RAUM
$47B
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
96%
$45B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2,881
2,499 advisory (5.B.1)
Offices
889
beyond the principal office
Private funds
0
reported on Schedule D
History
156 filings and snapshots on the tape
RAUM$47B as of Mar 29, 2023
Mar 29, 2012$10B then
HNW client RAUM$23B as of Mar 29, 2023
Mar 28, 2018$9.5B then
State-registered IARs (5.B.3)2,818 as of Mar 29, 2023
Apr 2, 20131,305 then
Employees (5.A)2,881 as of Mar 29, 2023
Apr 2, 20131,305 then
Private funds: no history
RAUM -7.2% over the last fiscal year+22% a year over threeIARs 2,798 to 2,818
Practice profile
derived from the filing of Jun 4, 2023; every figure names its basis
- RAUM per advisor
- $16.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $448,710derivedHNW RAUM over HNW clients
- Average account
- $241,772derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.2derived890 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 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
- 2,485reportedItem 5.H
- Wrap fee program
- $55BreportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- 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
- High-net-worth individuals$23B50%
- Individuals$22B46%
- Corporations and businesses$717M1.5%
- Pension and profit-sharing plans$587M1.3%
- Charitable organizations$320M0.7%
- State and municipal entities$30.6M0.1%
- Individual clients
- 137,744reported
- HNW clients
- 52,058reported
- Pension plan clients
- 1,695reported
- Charitable clients
- 664reported
- Accounts
- 192,956reported
- Financial planning clients
- 2,485reported
- Wrap fee programs
- $28B sponsored, $28B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Patrick Francis Madison to Advisornet Wealth PartnersJun 30, 2023 · Affiliated broker-dealer or bank to independent RIA
- Ryan Scott Manaker to Sageview Private Client Group, LLCJun 30, 2023 · Other
- Kenneth Gregory Barnes to Creative Planning Institutional Advisors, LLCJun 30, 2023 · Other
- Kenneth Scott Lee to Clg LLCJun 29, 2023 · Other
- Joan Maastricht Gilles to Advisornet Wealth PartnersJun 29, 2023 · Other
- Timothy Ross Kimmel to Paul R. Ried Financial Group, LLCJun 29, 2023 · Other
- Jeffrey Gerard Meyers to Osaic Wealth, Inc.Jun 29, 2023 · Affiliated broker-dealer or bank to another
- Scott M Danek to LPL Financial LLCJun 29, 2023 · Other
- Ryan Mount to Lincoln InvestmentJun 29, 2023 · Affiliated broker-dealer or bank to independent RIA
- Eszter Klara Koch to Creative Planning Institutional Advisors, LLCJun 29, 2023 · Other
- Joseph Edward Salamone to Blue Vase Capital ManagementJun 29, 2023 · Other
- Michael Scott Coe to Senior Financial Advisors, Inc.Jun 29, 2023 · Affiliated broker-dealer or bank to a state-registered adviser
- John Mack Majors to Sageview Private Client Group, LLCJun 29, 2023 · Other
- Timothy James Sigstad to Advisornet Wealth PartnersJun 29, 2023 · Affiliated broker-dealer or bank to independent RIA
- Evan Alfred Chang to Advisornet Wealth PartnersJun 29, 2023 · Affiliated broker-dealer or bank to independent RIA
Joined, latest
- Joanne Vera Mcknight from LPL Financial LLCJun 22, 2023 · Affiliated broker-dealer or bank to another
- Edward Tencza from Advisors Asset Management, Inc.Jun 9, 2023 · Other
- Shermicker Sheree Galloway from J.P. Morgan Securities LLCMay 10, 2023 · Wirehouse to affiliated broker-dealer or bank
- Kristopher Sean Phillips from Moors & Cabot, IncMar 24, 2023 · Affiliated broker-dealer or bank to another
- Michael L Suellentrop from Fisher InvestmentsMar 21, 2023 · RIA to affiliated broker-dealer or bank
- Brock Hewitt from Commonwealth Financial NetworkMar 6, 2023 · Affiliated broker-dealer or bank to another
- Jacob Tyler Wilsie from Fidelity Personal And Workplace AdvisorsMar 3, 2023 · Affiliated broker-dealer or bank to another
- Nicholas David Faller from Creative Planning Institutional Advisors, LLCFeb 24, 2023 · Other
- Stephen Adam Mazer from Creative Planning Institutional Advisors, LLCFeb 17, 2023 · Other
- Daniel Sylvester Liss from Meeder Advisory Services, Inc.Jan 30, 2023 · RIA to affiliated broker-dealer or bank
- Kolby Paul Blatchford from Woodbury Financial Services, Inc.Jan 24, 2023 · Affiliated broker-dealer or bank to another
- David Aaron Borden from Ccr Wealth Management, LLCJan 20, 2023 · Other
- John Chistopher Emig from Ascensus Financial Services, LLC.Dec 15, 2022 · Other
- Jeffrey Douglas Bjornson from Alpine Private WealthDec 1, 2022 · RIA to affiliated broker-dealer or bank
- Jeremy Wilmes from Equitable Advisors, LLCNov 30, 2022 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for Advisornet Wealth PartnersJun 29, 2023 · Lake Elmo, Mn
- 2 left for Advisornet Wealth PartnersJun 29, 2023 · Loudonville, Ny
- 2 left for Senior Financial Advisors, Inc.Jun 29, 2023 · Bellevue, Wa
- 3 left for Creative Planning Institutional Advisors, LLCJun 29, 2023 · Newport Beach, Ca
- 3 left for Sageview Private Client Group, LLCJun 29, 2023 · Knoxville, Tn
- 2 left for Cwm, LLCJun 29, 2023 · Cedar Rapids, Ia
- 2 left for Cwm, LLCJun 29, 2023 · Austin, Tx
- 10 left for Clg LLCJun 29, 2023 · Long Beach, Ca
- 2 joined from Cwm, LLCOct 17, 2024 · Omaha, Ne
- 2 joined from Cwm, LLCJun 6, 2024 · Grand Rapids, Mi
- 2 joined from United Capital Financial AdvisorsOct 27, 2023 · Bethesda, Md
- 2 joined from Vantage Financial Group, Inc.Nov 28, 2022 · Columbus, Oh
- 3 joined from First Financial Equity CorporationApr 20, 2022 · Scottsdale, Az
- 2 joined from J.P. Morgan Securities LLCDec 31, 2021 · Columbus, Oh
- 49 joined from Voya Financial Advisors, Inc.Jun 9, 2021 · Windsor, Ct
- 2 joined from Voya Financial Advisors, Inc.Jun 9, 2021 · Norwalk, Ia
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jeffrey Robert Buchheister · Chief Financial Officercontrolsince 05/2021 · owns less than 5%
- Gary Lynn Chaffin · Tax Officercontrolsince 05/2021 · owns less than 5%
- Kofi Sule Coaxum · Vice Presidentcontrolsince 05/2021 · owns less than 5%
- Rodney Cammeron Dowell · Principal Financial Officercontrolsince 03/2023 · owns less than 5%
- Lisa Anne Gok · Secretarycontrolsince 05/2021 · owns less than 5%
- Thomas Andrew Gooley · Managercontrolsince 05/2021 · owns less than 5%
- Kristy Marie Haley · Advisory Chief Compliance Officercontrolsince 11/2015 · owns less than 5%
- Kimberley Holweger · Chief Operating Officer And Principal Operations Officercontrolsince 03/2023 · owns less than 5%
- Winnie Ai-Ling Lee · Assistant Secretarycontrolsince 05/2022 · owns less than 5%
- Patricia Rutherford Mccallop · Broker Dealer Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- Maura Rie Mizuguchi · Chief Accounting Officercontrolsince 05/2021 · owns less than 5%
- Joseph Daniel Neary · Manager And Vice Presidentcontrolsince 05/2019 · owns less than 5%
- Stanley Robert Smiley · Vice Presidentcontrolsince 11/2007 · owns less than 5%
- Timothy Earl Mccoy Stinson · Presidentcontrolsince 01/2022 · owns less than 5%
- Timothy Patrick Stone · Vice Presidentcontrolsince 05/2021 · owns less than 5%
- Thomas Byron Taylor · Manager And Chief Executive Officercontrolsince 01/2022 · owns less than 5%
- David James Van Havermaat · Assistant Secretarycontrolsince 05/2021 · owns less than 5%
- Ramon Ramos · Money Laundering Reporting Officersince 02/2013 · owns less than 5%
Entity owners
- Cetera Financial Group, Inc. · Sole Memberdirect · owns 75% or more
- Aretec Group, Inc. · Sole Memberindirect · owns 75% or more of Cetera Financial Holdings, Inc.
- Cetera Financial Holdings, Inc. · Shareholder; 100% Of Common Stockindirect · owns 75% or more of Cetera Financial Group, Inc.
Related persons
Schedule D 7.A
- Associates In Excellence, Inc.LP sponsorn
- Cetera Advisor Networks Insurance Services LLCreal estaten
- Cetera Advisors Insurance Services LLCreal estaten
- Cetera Advisors LLCbroker-dealerinvestment advisernRAUM $22B
- Cetera Advisory Services LLCinvestment advisern
- Cetera Financial Specialists LLCbroker-dealern
- Cetera Insurance Agency, LLCreal estaten
- Cetera Investment Advisers LLCinvestment advisernRAUM $257B
- Cetera Investment Management LLCinvestment advisern
- Cetera Investment Services LLCbroker-dealerreal estatenRAUM $1.2B
- Fasi Insurance Services, Inc.real estaten
- Fasi Of Tx, Inc.real estaten
- First Allied Retirement Services, Inc.LP sponsorn
- Cetera Planning Partnersinvestment advisernRAUM $4.2B
Advisers that list Cetera Advisor Networks LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA26 employees
- Scottsdale, AZ19 employees
- Minnetonka, MN18 employees
- Long Beach, CA18 employees
- Cleveland, OH17 employees
- Omaha, NE14 employees
- Conshohocken, PA14 employees
- Melville, NY13 employees
- Vienna, VA13 employees
- Florham Park, NJ11 employees
- Newport Beach, CA11 employees
- Torrance, CA10 employees
- Tarrytown, NY10 employees
- Louisville, KY10 employees
- Broadview Heights, OH10 employees
- Vienna, VA9 employees
- St Louis, MO8 employees
- Addison, TX8 employees
- Williamsport, PA8 employees
- Greenwood Village, CO8 employees
- Manassas, VA8 employees
- Pasadena, CA7 employees
- Tigard, OR7 employees
- Haddon Heights, NJ7 employees
- Raleigh, NC7 employees
What changed
consecutive filings, newest first
- Accounts · 174,993 to 192,956Mar 15, 2023 to Mar 29, 2023
- Advisory employees · 2,519 to 2,499Mar 15, 2023 to Mar 29, 2023
- BD registered reps · 2,856 to 2,864Mar 15, 2023 to Mar 29, 2023
- Charity clients · 698 to 664Mar 15, 2023 to Mar 29, 2023
- Corporate clients · 611 to 751Mar 15, 2023 to Mar 29, 2023
- HNW clients · 40,745 to 52,058Mar 15, 2023 to Mar 29, 2023
- Individual clients · 131,363 to 137,744Mar 15, 2023 to Mar 29, 2023
- Pension plan clients · 1,077 to 1,695Mar 15, 2023 to Mar 29, 2023
- Employees · 2,867 to 2,881Mar 15, 2023 to Mar 29, 2023
- Insurance-licensed employees · 331 to 288Mar 15, 2023 to Mar 29, 2023
- State-registered IARs · 2,798 to 2,818Mar 15, 2023 to Mar 29, 2023
- Discretionary RAUM · $38B to $38BMar 15, 2023 to Mar 29, 2023
- HNW RAUM · $23B to $23BMar 15, 2023 to Mar 29, 2023
- Individual RAUM · $26B to $22BMar 15, 2023 to Mar 29, 2023
- Non-discretionary RAUM · $12B to $8.7BMar 15, 2023 to Mar 29, 2023
- Pension RAUM · $651M to $587MMar 15, 2023 to Mar 29, 2023
- RAUM · $50B to $47BMar 15, 2023 to Mar 29, 2023
- Wrap assets (manager) · $30B to $28BMar 15, 2023 to Mar 29, 2023
- Wrap assets (sponsor) · $30B to $28BMar 15, 2023 to Mar 29, 2023
- Accounts · 81,004 to 174,993Feb 28, 2022 to Mar 28, 2022
- Advisory employees · 1,854 to 2,519Feb 28, 2022 to Mar 28, 2022
- BD registered reps · 2,139 to 2,856Feb 28, 2022 to Mar 28, 2022
- Charity clients · 293 to 698Feb 28, 2022 to Mar 28, 2022
- Corporate clients · 324 to 611Feb 28, 2022 to Mar 28, 2022
- HNW clients · 22,797 to 40,745Feb 28, 2022 to Mar 28, 2022
- Individual clients · 56,486 to 131,363Feb 28, 2022 to Mar 28, 2022
- Pension plan clients · 737 to 1,077Feb 28, 2022 to Mar 28, 2022
- Employees · 2,151 to 2,867Feb 28, 2022 to Mar 28, 2022
- Insurance-licensed employees · 385 to 331Feb 28, 2022 to Mar 28, 2022
- State-registered IARs · 1,641 to 2,798Feb 28, 2022 to Mar 28, 2022
- Discretionary RAUM · $20B to $38BFeb 28, 2022 to Mar 28, 2022
- HNW RAUM · $13B to $23BFeb 28, 2022 to Mar 28, 2022
- Individual RAUM · $12B to $26BFeb 28, 2022 to Mar 28, 2022
- Non-discretionary RAUM · $5.9B to $12BFeb 28, 2022 to Mar 28, 2022
- Pension RAUM · $535M to $651MFeb 28, 2022 to Mar 28, 2022
- RAUM · $26B to $50BFeb 28, 2022 to Mar 28, 2022
- Wrap assets (manager) · $13B to $30BFeb 28, 2022 to Mar 28, 2022
- Wrap assets (sponsor) · $13B to $30BFeb 28, 2022 to Mar 28, 2022
- Accounts · 85,917 to 81,004Jan 25, 2021 to Mar 26, 2021
- Advisory employees · 1,538 to 1,854Jan 25, 2021 to Mar 26, 2021
Signals
60 dated events
- 2 advisors left Cwm, LLC (Omaha, NE) for Cetera Advisor Networks LLC on the same dayOct 17, 2024 · Team lift-out · derived
- 2 advisors left Cwm, LLC (Grand Rapids, MI) for Cetera Advisor Networks LLC on the same dayJun 6, 2024 · Team lift-out · derived
- 2 advisors left United Capital Financial Advisors (Bethesda, MD) for Cetera Advisor Networks LLC on the same dayOct 27, 2023 · Team lift-out · derived
- Patrick Francis Madison left Cetera Advisor Networks Llc for Advisornet Wealth Partners (registered 2021-04-07)Jun 30, 2023 · Advisor changed firm · fact
- Ryan Scott Manaker left Cetera Advisor Networks Llc for Sageview Private Client Group, Llc (registered 2009-12-04)Jun 30, 2023 · Advisor changed firm · fact
- Kenneth Gregory Barnes left Cetera Advisor Networks Llc for Creative Planning Institutional Advisors, Llc (registered 2018-11-20)Jun 30, 2023 · Advisor changed firm · fact
- Nicholas Lawrence Jahn left Cetera Advisor Networks Llc for Creative Planning Institutional Advisors, Llc (registered 2013-08-08)Jun 29, 2023 · Advisor changed firm · fact
- Kelly Andrew Kolstad left Cetera Advisor Networks Llc for Paul R. Ried Financial Group, Llc (registered 2018-08-16)Jun 29, 2023 · Advisor changed firm · fact
- Eric Van Anspach left Cetera Advisor Networks Llc for Clg Llc (registered 2016-12-27)Jun 29, 2023 · Advisor changed firm · fact
- Kerry Jean Meath-Sinkin left Cetera Advisor Networks Llc for Cwm, Llc (registered 2017-06-01)Jun 29, 2023 · Advisor changed firm · fact
- Dennis C Smith left Cetera Advisor Networks Llc for Clg Llc (registered 2017-01-30)Jun 29, 2023 · Advisor changed firm · fact
- Russell Gerard Nieland left Cetera Advisor Networks Llc for Cwm, Llc (registered 2018-04-30)Jun 29, 2023 · Advisor changed firm · fact
- Justin Tyler Schultes left Cetera Advisor Networks Llc for Cwm, Llc (registered 2022-04-20)Jun 29, 2023 · Advisor changed firm · fact
- Connor Christopher Campbell left Cetera Advisor Networks Llc for Clg Llc (registered 2017-01-26)Jun 29, 2023 · Advisor changed firm · fact
- Sarah Cartwright Ehmann left Cetera Advisor Networks Llc for Clg Llc (registered 2017-02-16)Jun 29, 2023 · Advisor changed firm · fact
- Kurt Robert Ehmann left Cetera Advisor Networks Llc for Clg Llc (registered 2016-12-27)Jun 29, 2023 · Advisor changed firm · fact
- Kenneth Scott Lee left Cetera Advisor Networks Llc for Clg Llc (registered 2017-03-25)Jun 29, 2023 · Advisor changed firm · fact
- James Paul Benson left Cetera Advisor Networks Llc for Advisornet Wealth Partners (registered 2016-08-16)Jun 29, 2023 · Advisor changed firm · fact
- David Brady Hunter left Cetera Advisor Networks Llc for Advisornet Wealth Partners (registered 2022-10-21)Jun 29, 2023 · Advisor changed firm · fact
- Jeffrey Gerard Meyers left Cetera Advisor Networks Llc for Osaic Wealth, Inc. (registered 2025-01-17)Jun 29, 2023 · Advisor changed firm · fact
- Timothy Ross Kimmel left Cetera Advisor Networks Llc for Paul R. Ried Financial Group, Llc (registered 2018-08-16)Jun 29, 2023 · Advisor changed firm · fact
- Gerald E Mitchell left Cetera Advisor Networks Llc for Clg Llc (registered 2017-02-16)Jun 29, 2023 · Advisor changed firm · fact
- Scott M Danek left Cetera Advisor Networks Llc for Lpl Financial Llc (registered 2017-02-06)Jun 29, 2023 · Advisor changed firm · fact
- Scott Ryan Lewis left Cetera Advisor Networks Llc for Vantage Financial Group, Inc. (registered 2018-08-17)Jun 29, 2023 · Advisor changed firm · fact
- David Charles Neff left Cetera Advisor Networks Llc for Clg Llc (registered 2017-01-30)Jun 29, 2023 · Advisor changed firm · fact
- Justin Robert Haschke left Cetera Advisor Networks Llc for Cwm, Llc (registered 2019-02-19)Jun 29, 2023 · Advisor changed firm · fact
- Ryan Mount left Cetera Advisor Networks Llc for Lincoln Investment (registered 2023-06-19)Jun 29, 2023 · Advisor changed firm · fact
- Bryan Anthony Hernandez left Cetera Advisor Networks Llc for Clg Llc (registered 2018-02-27)Jun 29, 2023 · Advisor changed firm · fact
- John Mack Majors left Cetera Advisor Networks Llc for Sageview Private Client Group, Llc (registered 2010-06-22)Jun 29, 2023 · Advisor changed firm · fact
- Timothy James Sigstad left Cetera Advisor Networks Llc for Advisornet Wealth Partners (registered 2022-10-26)Jun 29, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Cetera Advisor Networks LLC · Private Equityshared crd · intermediary
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026