Cetera Investment Advisers LLC

RIASEC RegisteredEst. 1984

Total AUM

$257B

Discretionary

$209B

81% of AUM

Avg account

$316K

Accounts

813,961

Employees

10,251

Advisory reps

10,484

Firm details

Headquarters: Schaumburg, Illinois
CRD number: 105644
Registered since: January 13, 1984
Website: www.ceteraholdings.com
Custodians: ONE PERSHING PLAZA, NATIONAL FINANCIAL SERVICES LLC, CETERA INVESTMENT SERVICES LLC, 211 MAIN STREET
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: Individuals68.36%
HNWI27.19%
Corporations / Businesses2.31%
Pension & Profit Sharing Plans1.34%
Charitable Organizations0.75%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Cetera Investment Advisers LLC is a non-independent retail registered investment adviser, first registered with the SEC in 1984. The firm acts as a capital allocator and provides advise to both individual/family clients and institutional accounts. Its advisory services include financial planning, portfolio management for individuals and small businesses as well as for businesses or institutions, pension consulting and selection of sub‑advisers, plus educational seminars and workshops. Fee arrangements are flexible — percentage of AUM, hourly fees and fixed fees are all used. The firm is not described as an active ESG investor. The organization has multiple industry roles beyond investment advice; it is affiliated with broker‑dealer, trust, insurance and municipal advisory activities and performs pension consultant duties in some capacities. That mix positions Cetera to serve advisers and client teams that need integration across custody, brokerage and advisory platforms.