CETERA INVESTMENT MANAGEMENT LLC

Overview

Cetera Investment Management LLC is registered as an independent registered investment adviser and was SEC-registered in 2013. The firm is structured as a limited liability company and is identified as a related adviser to other entities. Its reported business model includes affiliations across the financial services ecosystem: broker-dealer, other investment adviser relationships, registered municipal advisor activity, trust company services, insurance company links, and pension consulting affiliations. The firm is not flagged as an active ESG investor, is not classified as a multi-state adviser for regulatory purposes, and is not designated a capital allocator. The firm’s fee structure is listed as “Other,” which typically indicates a mix of compensation arrangements rather than a pure AUM fee model. The combination of broker-dealer and trust/insurance affiliations suggests the adviser function may be delivered alongside custody, trust, insurance, and municipal advisory capabilities or as part of a broader platform relationship rather than as a standalone money manager.

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