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
10,481

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 an independent, SEC-registered investment advisor formed in 1984 that operates as a capital allocator for both individual/family and institutional clients. The firm offers a broad slate of advisory services — financial planning, portfolio management for individuals, small businesses, and institutions, pension consulting, manager selection and educational workshops — and charges clients using asset-based fees, hourly billing and fixed-fee arrangements. The adviser does not identify as an active ESG investor in the source data.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 77%, Exchange Traded Equities 15%, Cash & Cash Equivalents 3%, US Government Bonds 2%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%, Other 1%77%
  • Public Funds/Mutual Funds77%
  • Exchange Traded Equities15%
  • Cash & Cash Equivalents3%
  • US Government Bonds2%
  • State & Local Bonds1%

Owners & executives

3 of 234
  • Lockett Crowe

    Lockett Crowe

    Executive Vice President and Chief Marketing OfficerCRD 3160820

  • Michael Cartolano

    Michael Cartolano

    Chief Operating OfficerCRD 6067871

  • Nicholas Casagrande

    Nicholas Casagrande

    Founder & CEOCRD 4288486

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Contacts

3 of 10247

  • Nick Lyons

    Financial AdvisorCRD 7551916

  • Lee Roggenburg

    Investment Advisor RepresentativeCRD 4541403

  • Jeffrey Bressner

    Jeffrey Bressner

    Investment Advisor RepresentativeCRD 6894691

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 2,434

Active vs passive

$78.2B in ETFs

Passive

72%

$56.4B

Active

23%

$21.8B

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$2.8B4,260,8943.56%
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Location

Primary office

Schaumburg, IL

Cook

Location

Schaumburg, IL

Headquartered in Schaumburg, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
Cook
Address
1450 American Ln
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth