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 Advisory Services LLC

No RAUM reportedEl Segundo, CaliforniaCRD 285648SEC 801-108603IAPD
Latest filing Aug 11, 2026
First filing on the tape Oct 27, 2016 · 58 filings
SEC status approved since Nov 18, 2016
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
58 filings and snapshots on the tape
RAUM$0 as of Aug 11, 2026
Jan 21, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)14 as of Aug 11, 2026
Mar 31, 20173 then
Employees (5.A)14 as of Aug 11, 2026
Mar 31, 20175 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 12 to 14
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
1.0derivedItem 5.A over advisors
Advisors per office
14.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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)
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
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=8.0derived
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Robert Jeffrey Buchheister · Cheif Financial Officercontrol
        since 04/2021 · owns less than 5%
      • Marie Kristy Haley · Advisory Chief Compliance Officercontrol
        since 06/2016 · owns less than 5%
      • Daniel Joseph Neary · Vice President, Managercontrol
        since 04/2021 · owns less than 5%
      • Byron Thomas Taylor · Ceo, Presidentcontrol
        since 04/2021 · owns less than 5%
      • Lynn Gary Chaffin · Tax Officer
        since 04/2021 · owns less than 5%
      • Neil Kalani Matthew Fries · Vice
        since 07/2024 · owns less than 5%
      • Anne Lisa Gok · Secretary
        since 04/2021 · owns less than 5%
      • Andrew Thomas Gooley · Vice President
        since 04/2021 · owns less than 5%
      • Ai-Ling Winnie Lee · Assistant Secretary
        since 05/2022 · owns less than 5%
      • Rie Maura Mizuguchi · Chief Accounting Officer
        since 04/2021 · owns less than 5%
      • Keith Allan Shores · Treasurer
        since 04/2021 · owns less than 5%
      • Robert Stanley Smiley · Vice President
        since 04/2021 · owns less than 5%
      • James David Van Havermaat · Assistant Secretary
        since 04/2021 · owns less than 5%
      Entity owners
      • Cetera Financial Group, Inc. · Sole Member
        direct · owns 75% or more
      • Aretec Group, Inc · Owner
        indirect · owns 75% or more of Cetera Financial Holdings, LLC
      • Cetera Financial Group, Inc · Sole Member
        indirect · owns 75% or more of Cetera Financial Group, Inc.
      • Cetera Financial Holdings, LLC · Owner
        indirect · owns 75% or more of Cetera Financial Group, Inc.
      • Gc Three Holdings, LLC · Owner
        indirect · owns 75% or more of Gc Two Holdings, Inc
      • Gc Two Holdings, Inc · Owner
        indirect · owns F of Gc Two Intermediate Holdings, Inc
      • Gc Two Intermediate Holdings, Inc · Owner
        indirect · owns F of Aretec Group, Inc
      Related persons
      Schedule D 7.A
      Advisers that list Cetera Advisory Services LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 12 to 14
        Jan 8, 2026 to Mar 24, 2026
      • BD registered reps · 11 to 8
        Jan 8, 2026 to Mar 24, 2026
      • Employees · 12 to 14
        Jan 8, 2026 to Mar 24, 2026
      • State-registered IARs · 12 to 14
        Jan 8, 2026 to Mar 24, 2026
      • Financial planning clients · 0 to 0
        Jun 9, 2025 to Nov 3, 2025
      • BD registered reps · 8 to 11
        Jan 21, 2025 to Apr 9, 2025
      • Insurance-licensed employees · 3 to 2
        Jan 21, 2025 to Apr 9, 2025
      • Accounts · unset to 0.0
        Sep 20, 2024 to Jan 21, 2025
      • Discretionary RAUM · unset to 0.0
        Sep 20, 2024 to Jan 21, 2025
      • Non-discretionary RAUM · unset to 0.0
        Sep 20, 2024 to Jan 21, 2025
      • RAUM · unset to 0.0
        Sep 20, 2024 to Jan 21, 2025
      • Advisory employees · 13 to 12
        Jun 4, 2023 to Mar 28, 2024
      • BD registered reps · 9 to 8
        Jun 4, 2023 to Mar 28, 2024
      • Employees · 13 to 12
        Jun 4, 2023 to Mar 28, 2024
      • State-registered IARs · 13 to 12
        Jun 4, 2023 to Mar 28, 2024
      • Related bank · true to false
        Apr 17, 2023 to May 5, 2023
      • Advisory employees · 3 to 13
        Jan 6, 2023 to Mar 29, 2023
      • BD registered reps · 3 to 9
        Jan 6, 2023 to Mar 29, 2023
      • Employees · 3 to 13
        Jan 6, 2023 to Mar 29, 2023
      • State-registered IARs · 3 to 13
        Jan 6, 2023 to Mar 29, 2023
      • Advisory employees · 1 to 3
        Feb 3, 2022 to Mar 28, 2022
      • Employees · 4 to 3
        Feb 3, 2022 to Mar 28, 2022
      • BD registered reps · 4 to 3
        Jan 4, 2021 to Mar 26, 2021
      • Employees · 5 to 4
        Dec 13, 2018 to Mar 19, 2019
      • Other offices · unset to 0.0
        Aug 29, 2017 to Mar 28, 2018
      • Wrap assets (manager) · unset to 0.0
        Aug 29, 2017 to Mar 28, 2018
      • Wrap assets (sponsor) · unset to 0.0
        Aug 29, 2017 to Mar 28, 2018
      • Accounts · 0.0 to unset
        Nov 16, 2016 to Mar 31, 2017
      • Discretionary RAUM · 0.0 to unset
        Nov 16, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · 0.0 to unset
        Nov 16, 2016 to Mar 31, 2017
      • RAUM · 0.0 to unset
        Nov 16, 2016 to Mar 31, 2017
      • Related bank · false to true
        Nov 16, 2016 to Mar 31, 2017
      • Legal name · FORWARDFRAME LLC to CETERA ADVISORY SERVICES LLC
        Mar 31, 2017 to Mar 31, 2017
      • Business name · FORWARDFRAME LLC to CETERA ADVISORY SERVICES LLC
        Mar 31, 2017 to Mar 31, 2017
      Signals
      12 dated events
      • Cetera Advisory Services Llc reported 13 state-registered advisory representatives, up from 3 (2023-01-06 to 2023-03-29)
        Mar 29, 2023 · Advisor headcount change · derived
      • Paul Mark Shelson (Treasurer) no longer on Schedule A of Cetera Advisory Services Llc (listed 2022-02-03, absent 2022-03-28)
        Mar 28, 2022 · Control person left · inference
      • Lamar Brett Harrison (Manager) no longer on Schedule A of Cetera Advisory Services Llc (listed 2022-02-03, absent 2022-03-28)
        Mar 28, 2022 · Control person left · inference
      • Alan Gregory Olson (Assistant Secretary) no longer on Schedule A of Cetera Advisory Services Llc (listed 2022-02-03, absent 2022-03-28)
        Mar 28, 2022 · Control person left · inference
      • Byron Thomas Taylor (Ceo, President) appeared on Schedule A of Cetera Advisory Services Llc
        Mar 28, 2022 · Control person joined · fact
      • Robert Jeffrey Buchheister (Cheif Financial Officer) appeared on Schedule A of Cetera Advisory Services Llc
        Mar 28, 2022 · Control person joined · fact
      • Daniel Joseph Neary (Vice President) appeared on Schedule A of Cetera Advisory Services Llc
        Mar 28, 2022 · Control person joined · fact
      • Edward Gregory Olson (Assistant Secretary) no longer on Schedule A of Cetera Advisory Services Llc (listed 2020-04-01, absent 2020-06-16)
        Jun 16, 2020 · Control person left · inference
      • Alan Gregory Olson (Assistant Secretary) appeared on Schedule A of Cetera Advisory Services Llc
        Jun 16, 2020 · Control person joined · fact
      • Lamar Brett Harrison (Manager) appeared on Schedule A of Cetera Advisory Services Llc
        Jan 14, 2020 · Control person joined · fact
      • Nicholas Adam Antoniades (President) no longer on Schedule A of Cetera Advisory Services Llc (listed 2019-03-19, absent 2020-01-14)
        Jan 14, 2020 · Control person left · inference
      • Forwardframe Llc filed its initial SEC registration (Form ADV)
        Oct 27, 2016 · 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
      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