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 Management LLC
Latest filing Aug 11, 2026
First filing on the tape Nov 20, 2012 · 90 filings
SEC status approved since Jan 3, 2013
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
9 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
90 filings and snapshots on the tape
RAUM$0 as of Aug 11, 2026
Mar 30, 2016$4.4B then
HNW client RAUM$0 as of Mar 17, 2020
Mar 28, 2018$0 then
State-registered IARs (5.B.3)25 as of Aug 11, 2026
Apr 1, 20132 then
Employees (5.A)25 as of Aug 11, 2026
Apr 1, 20135 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 23 to 25
Practice profile
derived from the filing of Aug 11, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 2.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +8.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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
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
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=18.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Shannon Lee Otterbeck | San Diego, Ca | Jun 9, 2015 | 23 y | 6 |
| Gene Fitzgerald GoldmanChartered Financial Analyst | El Segundo, Ca | Jul 10, 2015 | 30 y | 0 |
| Richard Paul Anderson | St Cloud, Mn | Jul 13, 2017 | 42 y | 0 |
| Tyler AkerlindChartered Financial Analyst | Saint Paul, Mn | Aug 14, 2023 | 13 y | 2 |
| Ross KronholmCertified Financial Planner | St Paul, Mn | Aug 14, 2023 | 22 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Suehyun Kim to WilshireJul 11, 2018 · Other
- Benjamin James Blum to Woodbury Financial Services, Inc.Jun 12, 2018 · Other
- David Albin to Cetera Investment Advisers LLCFeb 20, 2018 · Other
- Craig Edward Columbus to Columbus Macro, LLCJul 7, 2017 · Other
- Lon Jeffrey Gerber to Columbus Macro, LLCJul 7, 2017 · Other
- Brian David Wright to Columbus Macro, LLCJul 7, 2017 · Other
- Ami Shah to Valic Financial Advisors, Inc.Dec 31, 2015 · Other
- Thomas Randall Samuelson to Integrated Advisors Network LLCJun 23, 2015 · Other
Joined, latest
- Ross Kronholm from Cetera Investment Advisers LLCAug 14, 2023 · Other
- Tyler Akerlind from Cetera Investment Advisers LLCAug 14, 2023 · Other
- Shannon Lee Otterbeck from First Allied Asset Management, Inc.Jun 9, 2015 · Other
- Craig Edward Columbus from First Allied Asset Management, Inc.Jun 9, 2015 · Other
- Thomas Randall Samuelson from First Allied Asset Management, Inc.Jun 9, 2015 · Other
- Lon Jeffrey Gerber from First Allied Asset Management, Inc.Jun 9, 2015 · Other
- Collin Daniel Martin from First Allied Asset Management, Inc.Jun 9, 2015 · Other
- Brian David Wright from First Allied Asset Management, Inc.Jun 9, 2015 · Other
- Barton Liro from First Allied Asset Management, Inc.Jun 9, 2015 · Other
- Ami Shah from Cetera Investment Advisers LLCJun 9, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Columbus Macro, LLCJul 7, 2017 · Scottsdale, Az
- 2 joined from Cetera Investment Advisers LLCAug 14, 2023 · St Paul, Mn
- 3 joined from First Allied Asset Management, Inc.Oct 30, 2015 · Scottsdale, Az · Firm absorbed
- 2 joined from First Allied Asset Management, Inc.Oct 30, 2015 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Robert Jeffrey Buchheister · Chief Financial Officercontrolsince 04/2021 · owns less than 5%
- Fitzgerald Gene Goldman · Chief Investment Officercontrolsince 07/2017 · owns less than 5%
- Daniel Joseph Neary · Manager, Vpcontrolsince 05/2019 · owns less than 5%
- Keith Allan Shores · Treasurercontrolsince 07/2017 · owns less than 5%
- Byron Thomas Taylor · Ceo, Presidentcontrolsince 04/2021 · owns less than 5%
- Lynn Gary Chaffin · Tax Officersince 04/2021 · owns less than 5%
- Neil Kalani Matthew Fries · Vice Presidentsince 07/2024 · owns less than 5%
- Anne Lisa Gok · Secretarysince 04/2021 · owns less than 5%
- Ai-Ling Winnie Lee · Assistant Secretarysince 05/2022 · owns less than 5%
- Rie Maura Mizuguchi · Chief Accounting Officersince 04/2021 · owns less than 5%
- Luis Jose Rodriguez · Chief Compliance Officersince 11/2018 · owns less than 5%
- Robert Stanley Smiley · Vice Presidentsince 11/2012 · owns less than 5%
- James David Van Havermaat · Assistant Secretarysince 04/2021 · owns less than 5%
Entity owners
- Cetera Financial Group, Inc. · Sole Memberdirect · owns 75% or more
- Aretec Group, Inc. · Ownerindirect · owns 75% or more of Cetera Financial Holdings, Inc.
- Cetera Financial Group, Inc · Sole Memberindirect · owns 75% or more of Cetera Financial Group, Inc.
- Cetera Financial Holdings, Inc. · Ownerindirect · owns 75% or more of Cetera Financial Group, Inc
- Gc Three Holdings, LLC · Ownerindirect · owns 75% or more of Gc Two Holdings, Inc
- Gc Two Holdings, Inc · Ownerindirect · owns 75% or more of Gc Two Intermediate Holdings, Inc
- Gc Two Intermediate Holdings, Inc · Ownerindirect · owns 75% or more of Aretec Group, Inc.
Related persons
Schedule D 7.A
- Associates In Excellence, Inc.LP sponsorn
- Avantax Advisory Servicesinvestment advisernRAUM $46B
- Avantax Investment Services, Inc.broker-dealern
- Avantax Planning Partners, Inc.investment advisernRAUM $7.6B
- Cetera Advisor Networks Insurance Services LLCreal estaten
- Cetera Advisor Networks LLCbroker-dealernRAUM $47B
- Cetera Advisors Insurance Services LLCreal estaten
- Cetera Advisors LLCbroker-dealerinvestment advisernRAUM $22B
- Cetera Advisory Services LLCinvestment advisern
- Cetera Financial Specialists LLCbroker-dealerreal estaten
- Cetera Insurance Agency LLCreal estaten
- Cetera Investment Advisers LLCinvestment advisernRAUM $257B
- Cetera Investment Services LLCbroker-dealerreal estatenRAUM $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, LLCreal estaten
- Cetera Planning Partnersinvestment advisernRAUM $4.2B
Advisers that list Cetera Investment Management LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| El Segundo, Ca | 5 | 0 | 0 | ||
| San Diego, Ca | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- El Segundo, CA5 employees
- San Diego, CA4 employees
- Saint Paul, MN3 employees
- St Cloud, MN1 employees
What changed
consecutive filings, newest first
- BD registered reps · 21 to 18Jan 8, 2026 to Mar 24, 2026
- Employees · 23 to 25Jan 8, 2026 to Mar 24, 2026
- Insurance-licensed employees · 11 to 10Jan 8, 2026 to Mar 24, 2026
- State-registered IARs · 23 to 25Jan 8, 2026 to Mar 24, 2026
- Financial planning clients · 0 to 0Jun 9, 2025 to Nov 3, 2025
- Advisory employees · 13 to 9Jan 21, 2025 to Apr 9, 2025
- BD registered reps · 19 to 21Jan 21, 2025 to Apr 9, 2025
- Employees · 24 to 23Jan 21, 2025 to Apr 9, 2025
- Insurance-licensed employees · 8 to 11Jan 21, 2025 to Apr 9, 2025
- State-registered IARs · 24 to 23Jan 21, 2025 to Apr 9, 2025
- Accounts · unset to 0.0Sep 20, 2024 to Jan 21, 2025
- Discretionary RAUM · unset to 0.0Sep 20, 2024 to Jan 21, 2025
- Non-discretionary RAUM · unset to 0.0Sep 20, 2024 to Jan 21, 2025
- RAUM · unset to 0.0Sep 20, 2024 to Jan 21, 2025
- Advisory employees · 7 to 13Oct 17, 2023 to Mar 28, 2024
- BD registered reps · 18 to 19Oct 17, 2023 to Mar 28, 2024
- Employees · 23 to 24Oct 17, 2023 to Mar 28, 2024
- Insurance-licensed employees · 10 to 8Oct 17, 2023 to Mar 28, 2024
- State-registered IARs · 23 to 24Oct 17, 2023 to Mar 28, 2024
- Other offices · 2 to 4Oct 17, 2023 to Mar 28, 2024
- HQ city · EL SEGUNDO to SCHAMBURGJun 4, 2023 to Jul 18, 2023
- HQ state · CA to ILJun 4, 2023 to Jul 18, 2023
- BD registered reps · 13 to 18Jan 6, 2023 to Mar 29, 2023
- Employees · 15 to 23Jan 6, 2023 to Mar 29, 2023
- Insurance-licensed employees · 5 to 10Jan 6, 2023 to Mar 29, 2023
- State-registered IARs · 15 to 23Jan 6, 2023 to Mar 29, 2023
- BD registered reps · 12 to 13Nov 17, 2021 to Mar 28, 2022
- Employees · 16 to 15Nov 17, 2021 to Mar 28, 2022
- Insurance-licensed employees · 3 to 5Nov 17, 2021 to Mar 28, 2022
- State-registered IARs · 12 to 15Nov 17, 2021 to Mar 28, 2022
- Insurance-licensed employees · 10 to 3Jan 4, 2021 to Mar 26, 2021
- State-registered IARs · 11 to 12Jan 4, 2021 to Mar 26, 2021
- Pooled vehicle clients · 0.0 to unsetMar 17, 2020 to Jun 30, 2020
- HNW RAUM · 0.0 to unsetMar 17, 2020 to Jun 30, 2020
- Individual RAUM · 0.0 to unsetMar 17, 2020 to Jun 30, 2020
- Pension RAUM · 0.0 to unsetMar 17, 2020 to Jun 30, 2020
- Pooled vehicle RAUM · 0.0 to unsetMar 17, 2020 to Jun 30, 2020
- BD registered reps · 10 to 12Mar 11, 2020 to Mar 17, 2020
- Employees · 14 to 16Mar 11, 2020 to Mar 17, 2020
- Accounts · 0.0 to unsetDec 3, 2018 to Mar 14, 2019
Signals
10 dated events
- 2 advisors left Cetera Investment Advisers LLC (ST Paul, MN) for Cetera Investment Management LLC on the same dayAug 14, 2023 · Team lift-out · derived
- Alan Gregory Olson (Assistant Secretary) no longer on Schedule A of Cetera Investment Management Llc (listed 2021-11-17, absent 2022-03-28)Mar 28, 2022 · Control person left · inference
- Byron Thomas Taylor (Ceo, President) appeared on Schedule A of Cetera Investment Management LlcMar 28, 2022 · Control person joined · fact
- Robert Jeffrey Buchheister (Chief Financial Officer) appeared on Schedule A of Cetera Investment Management LlcMar 28, 2022 · Control person joined · fact
- Alan Gregory Olson (Assistant Secretary) appeared on Schedule A of Cetera Investment Management LlcNov 4, 2020 · Control person joined · fact
- Edward Gregory Olson (Assistant Secretary) no longer on Schedule A of Cetera Investment Management Llc (listed 2020-09-01, absent 2020-11-04)Nov 4, 2020 · Control person left · inference
- 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)Mar 11, 2020 · Control person left · inference
- Nicholas Adam Antoniades (Manager) no longer on Schedule A of Cetera Investment Management Llc (listed 2019-06-27, absent 2019-08-27)Aug 27, 2019 · Control person left · inference
- Daniel Joseph Neary (Manager/Director) appeared on Schedule A of Cetera Investment Management LlcAug 27, 2019 · Control person joined · fact
- Cetera Investment Management Llc filed its initial SEC registration (Form ADV)Nov 20, 2012 · First SEC 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
- Website
- CETERAHOLDINGS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 310-257-7880reportedpublic record, Form ADV, Aug 11, 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
- No RAUM reportedderiveda 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