Cetera Planning Partners

RIASEC RegisteredEst. 2004
Total AUM
$4.2B
Discretionary
$4B
97% of AUM
Avg account
$295K
Accounts
14,107
Employees
78
Advisory reps
63

Firm details

Headquarters
Leawood, Kansas
CRD number
129625
Registered since
January 16, 2004
Custodians
CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • HNWI80.23%
  • Individuals16.49%
  • Pension & Profit Sharing Plans1.75%
  • Corporations / Businesses1.54%
Services
Financial PlanningPortfolio Management for IndividualsPension ConsultingPublication of PeriodicalsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Cetera Planning Partners is an independent registered investment adviser organized as an LLC and SEC-registered since 2004. The firm serves both individuals and families as well as institutional clients, offering financial planning, portfolio management for individuals and small businesses, pension consulting, periodic publications, and client education through seminars and workshops. Its fee arrangements include both asset-based fees and fixed fees. The firm maintains a range of industry relationships—listed affiliations include broker-dealers, other investment advisers, registered municipal advisor status, banking and trust institutions, accounting and law firms, insurance companies, and pension consultants. Cetera Planning Partners was recognized on FA Magazine’s Top RIA Firms list in 2020.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 77%, Public Funds/Mutual Funds 13%, Cash & Cash Equivalents 6%, Other 2%, US Government Bonds 1%, Investment Grade Corp Bonds 1%77%
  • Exchange Traded Equities77%
  • Public Funds/Mutual Funds13%
  • Cash & Cash Equivalents6%
  • Other2%
  • US Government Bonds1%

Owners & executives

3 of 8
  • Matthew Bregozzo

    Matthew Bregozzo

    Chief Compliance OfficerCRD 5881295

  • Kristy Haley

    Kristy Haley

    Chief Compliance OfficerCRD 4022155

  • Kevin Jaegers

    Kevin Jaegers

    Chief Operations OfficerCRD 4794772

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Contacts

3 of 55
  • James Mikesell

    James Mikesell

    Senior Wealth ManagerCRD 5761913

  • Nancy Luther

    Nancy Luther

    Client Relationship ManagerCRD 5840885

  • Carolyn Vertovec

    Carolyn Vertovec

    Investment Adviser RepresentativeCRD 5081034

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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ETF holdings

1 of 397

Active vs passive

$3.7B in ETFs

Passive

69%

$2.6B

Active

29%

$1.1B

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD 500 INDEX FUND (VOO)VanguardPassiveLarge Blend$349M507,5339.37%

Location

Primary office

Leawood, KS

Johnson

Location

Leawood, KS

Headquartered in Leawood, KS, anchoring the Kansas City-Overland Park-Kansas City, MO-KS metro in the Midwest.

Metro area
Kansas City-Overland Park-Kansas City, MO-KS
Region
Midwest
County
Johnson
Address
11460 Tomahawk Creek Pkwy
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth