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 Investment Services LLC

Former SEC-registered adviserSt Cloud, MinnesotaCRD 15340SEC 801-45573IAPD
Latest filing Jan 31, 2014
First filing on the tape Jan 13, 2012 · 23 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
22%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
718
718 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.2B as of Apr 1, 2013
Mar 29, 2012$776M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 718
Employees (5.A): 718
Private funds: no history
RAUM +54% over the last fiscal year
Practice profile
derived from the filing of Jan 31, 2014; every figure names its basis
RAUM per advisor
$1.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$215,395derivedRAUM over accounts (5.F.2.f)
Discretionary
22%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
119.7derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+54%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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
Custody
$1.2B, 5,459 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5,540reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$1.2B for 5,459 clientsreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Catherine Mccormack Bonneau · President, Ceo, Managercontrol
    since 12/2005 · owns less than 5%
  • Valerie Gay Brown · Manager, Chairmancontrol
    since 12/2012 · owns less than 5%
  • Michael Dennis Burns · Vice President , Chief Compliance Officer And Secretarycontrol
    since 05/2008 · owns less than 5%
  • Sean Patrick Casey · Vice President, Director Of Business Developmentcontrol
    since 08/2006 · owns less than 5%
  • Steven James Jr Dunlap · Vice President And Managercontrol
    since 07/2013 · owns less than 5%
  • Cynthia A Hamel · Vice Presidentcontrol
    since 10/2010 · owns less than 5%
  • Kimberley Ann Holweger · Vice President And Director Of Operations And Clearingcontrol
    since 03/1999 · owns less than 5%
  • Christopher Jon Reinholz · Vice President And Director Of Tradingcontrol
    since 09/1998 · owns less than 5%
  • Leann Renee Rummel · Vice President And National Sales Directorcontrol
    since 02/1998 · owns less than 5%
  • Ami Shah · Advisory Chief Compliance Officercontrol
    since 01/2014 · owns less than 5%
  • James Walter Shay · Head Of Risk Managementcontrol
    since 04/2012 · owns less than 5%
  • Mark Paul Shelson · Vice President, Chief Financial Officer And Treasurercontrol
    since 06/2002 · owns less than 5%
  • Stanley Robert Smiley · Vice Presidentcontrol
    since 03/2004 · owns less than 5%
  • Mark Francis Vassallo · Managing Memebercontrol
    since 12/2013 · owns 75% or more of Ly Holdings, LLC
Entity owners
  • Cetera Financial Group, Inc. · Sole Member
    direct · owns 75% or more
  • Cetera Financial Holdings, Inc. · Sole Member
    indirect · owns 75% or more of Cetera Financial Group, Inc.
  • Lightyear Fund II Gp Holdings, LLC · General Partner
    indirect · owns 75% or more of Lightyear Fund II Gp, L.P.
  • Lightyear Fund II Gp, L.P. · General Partner
    indirect · owns 75% or more of Lightyear Fund II L.P.
  • Lightyear Fund II, L.P. · Shareholder; 79.3% Of Common Stock
    indirect · owns 75% or more of Cetera Financial Holdings, Inc.
  • Ly Holdings, LLC · Managing Member
    indirect · owns 75% or more of Lightyear Fund II Gp Holdings, LLC
Related persons
Schedule D 7.A
Advisers that list Cetera Investment Services LLC as a related person
Offices
Schedule D 1.F, the 25 largest
  • Allentown, PA
  • Birmingham, AL
  • El Monte, CA
  • Malvern, PA
  • Rosemont, IL
What changed
consecutive filings, newest first
  • Accounts · 3,929 to 5,540
    Mar 8, 2013 to Apr 1, 2013
  • Advisory employees · 635 to 718
    Mar 8, 2013 to Apr 1, 2013
  • Advisory activities · 5 to 6
    Mar 8, 2013 to Apr 1, 2013
  • BD registered reps · 635 to 718
    Mar 8, 2013 to Apr 1, 2013
  • Assets in custody · $776M to $1.2B
    Mar 8, 2013 to Apr 1, 2013
  • Employees · 800 to 718
    Mar 8, 2013 to Apr 1, 2013
  • Financial planning clients · 26-50 to 11-25
    Mar 8, 2013 to Apr 1, 2013
  • State-registered IARs · 635 to 718
    Mar 8, 2013 to Apr 1, 2013
  • Discretionary RAUM · $167M to $261M
    Mar 8, 2013 to Apr 1, 2013
  • Non-discretionary RAUM · $609M to $932M
    Mar 8, 2013 to Apr 1, 2013
  • RAUM · $776M to $1.2B
    Mar 8, 2013 to Apr 1, 2013
  • Business name · PRIMEVEST FINANCIAL SERVICES, INC. to CETERA INVESTMENT SERVICES LLC
    Dec 3, 2012 to Dec 4, 2012
  • Legal name · PRIMEVEST FINANCIAL SERVICES, INC. to CETERA INVESTMENT SERVICES LLC
    Dec 3, 2012 to Dec 4, 2012
  • Succession · true to false
    Dec 3, 2012 to Dec 4, 2012
  • Organization form · Corporation to Limited Liability Company
    Nov 12, 2012 to Dec 3, 2012
  • Succession · false to true
    Nov 12, 2012 to Dec 3, 2012
  • Advisory employees · unset to 635.0
    May 8, 2012 to Nov 12, 2012
  • BD registered reps · unset to 635.0
    May 8, 2012 to Nov 12, 2012
  • Employees · unset to 800.0
    May 8, 2012 to Nov 12, 2012
  • State-registered IARs · unset to 635.0
    May 8, 2012 to Nov 12, 2012
  • Advisory activities · 4 to 5
    Apr 13, 2012 to May 8, 2012
  • Insurance-licensed employees · 1 to 0
    Mar 29, 2012 to Mar 30, 2012
  • Accounts · 3,404 to 3,929
    Mar 22, 2012 to Mar 29, 2012
  • Assets in custody · $682M to $776M
    Mar 22, 2012 to Mar 29, 2012
  • Insurance-licensed employees · 0 to 1
    Mar 22, 2012 to Mar 29, 2012
  • Discretionary RAUM · $185M to $167M
    Mar 22, 2012 to Mar 29, 2012
  • Non-discretionary RAUM · $497M to $609M
    Mar 22, 2012 to Mar 29, 2012
  • RAUM · $682M to $776M
    Mar 22, 2012 to Mar 29, 2012
Signals
1 dated events
  • Primevest Financial Services, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Dec 3, 2012 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
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