SourcingSourcing

CETERA INVESTMENT ADVISERS LLC

C26
CRD 105644·SEC 801-20406·SCHAUMBURG, IL
AUM
$256.81B
$1B+
Est. Revenue
$2.57B
@ 1% on AUM
Est. EBITDA
$770.4M
@ 30% margin
Est. Deal Value
$6.16B
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CETERA INVESTMENT ADVISERS LLC
CRD
105644
SEC file #
801-20406
EIN
363258176
DBA names
—

Economics

AUM
$256.81B
AUM band
$1B+
AUM trajectory
'20'26
$10.32B → $256.81B▲ +2388%
Client mix
Individuals Other722,373
Individuals High Net Worth79,279
Pension Profit Sharing Plans6,324
Corporations3,884
Charitable Organizations2,036

Operations

Employees (total)
10,251
Advisory staff (per ADV)
9,049
Advisory staff (5-yr trend)
'20'26
1,911 advisors → 9,049 advisors▲ +374%
Primary office
SCHAUMBURG IL
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
04/01/2026
ADV-W filed at
—
Website
ceterafinancialspecialists.com

Compliance

Disclosures (firm)
12
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CETERA FINANCIAL SPECIALISTS
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
19
Control Persons
CETERA FINANCIAL SPECIALISTS
BUCHHEISTER, JEFFREY, ROBERT
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
CETERAFINANCIALSPECIALISTS.COM
Rdap Domain Creation Date
2012-05-15T17:24:02Z
Rdap Firm Age Years
14
Rdap Firm Age Band
10-20y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
228
Form 5500 Total Compensation
7,351,899
Form 5500 Compensation Trajectory 3y
20256,837,062
2026514,837
Form 5500 Plan Count Trajectory 3y
2025209
202619
Schedule C Total Compensation
7,351,899
Schedule C Service Provider Rows
228

SEC EDGAR

Edgar Cik
0001666741
Edgar Registered
Yes
Edgar Filing Count
46
Edgar First Filing Date
2016-02-16
Edgar Last Filing Date
2026-05-13
Edgar 13f Count
44
Edgar 13f Latest AUM Estimate
Filing Date2026-05-13
Accession0001666741-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
49
Bc Firm Active IA Count
50
Bc Firm IAR Count
50
Custodian Candidates
Full
E*trade4
Pershing3
Charles Schwab2
Fidelity2
Edgar Addresses
Mailing
1450 AMERICAN LANE 6TH FLOORSUITE 650SCHAUMBURG, IL 60173-2096
Business
1450 AMERICAN LANE 6TH FLOORSUITE 650SCHAUMBURG, IL 60173-2096
Edgar EIN
363258176
Edgar Recent Filings
13F-HR2026-05-13 · 0001666741-26-000002
13F-HR2026-02-17 · 0001666741-26-000001
Fee Schedule
Bracket Ix77
Bracket I15
Bracket Xi3
Bracket Iii2
Bracket Iv1
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-05-15T17:24:02Z
Rdap Domain Last Changed
2025-12-17T14:17:44Z
Rdap Nameservers
Ns-1168.awsdns-18.orgNs-1802.awsdns-33.co.ukNs-456.awsdns-57.comNs-731.awsdns-27.net
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
No

People (68)

68
BUCHHEISTER, JEFFREY, ROBERT
Executive Officer · 2.5%
4709900
GOK, LISA, ANNE
Executive Officer · 2.5%
5059738
HALEY, KRISTY, MARIE
Executive Officer · 2.5%
4022155
KRUEGER, RONALD, GEORGE
Executive Officer · 2.5%
2651416
Mizuguchi, Maura, Rie
Executive Officer · 2.5%
5769181
NEARY, JOSEPH, DANIEL
Executive Officer · 2.5%
2993505
SMILEY, STANLEY, ROBERT
Executive Officer · 2.5%
3004604
Van Havermaat, David, James
Executive Officer · 2.5%
7042846
Budevich, Serge
Executive Officer · 2.5%
7996345
FRIES, MATTHEW, NEIL KALANI
Executive Officer · 2.5%
2723824
HOLLORAN, WILLIAM, THOMAS
Executive Officer · 2.5%
1194469
Kirwin, Scott, M
Executive Officer · 2.5%
6931682
LEE, WINNIE, AI-LING
Executive Officer · 2.5%
7381661
Mackay, Todd, Christopher
Executive Officer · 2.5%
2799860
Molnar, Michael, James
Executive Officer · 2.5%
4866129
RUMMEL, LEANN, RENEE
Executive Officer · 2.5%
1965155
Vays, Tamas
Executive Officer · 2.5%
6474519
WATTS, ANDREW, DAVID
Executive Officer · 2.5%
4780880
TRACEY MARY SIEJA
IAR
1205830
ROBERT THOMAS REED
IAR
4133557
SILVIA C. NEWELL
IAR
4012671
RUSSEL JAMES DRITSAS
IAR
4083448
CHRISTIAN JOHN HUGHES
IAR
4123616
ALBERT L RICH
IAR
4393368
CHARLENE RENEE LOVITT
IAR
4335575
STEVE NAPIER
IAR
4368754
DONALD M. WORSTER
IAR
4180843
ERIC JOSEPH BAUER
IAR
4175644
ROMAN LEV WASYLYN
IAR
4195327
MURRAY JAY FOX
IAR
4147628
KIMBERLY ANNE BUTTERFIELD
IAR
4190157
SHEILA MARIE LITTLETON
IAR
4449228
RANDY STEPHEN BOCHNIAK
IAR
4486216
ROY EARL OLSON
IAR
4481001
COREY TREMAIN CREECH
IAR
4482122
DAVID GENE CLARKE
IAR
4480980
TAMARA SUZANNE MILLER
IAR
4482242
KATHLEEN JOYCE KALOSKY
IAR
4507967
PATRICK YAMLAI LEE
IAR
4327642
THOMAS HING YUK MANG
IAR
4336781
Greg Sayers
IAR
4530564
JONATHAN FUREY
IAR
4538024
ALFRED THOMAS HARGRAVE
IAR
4536957
LANFENG ZHAO
IAR
4548366
DEAN CHRISTIAN LABELLE
IAR
4025750
PAUL ALAN BRATRUDE
IAR
4004441
SARAH BETH WELLS
IAR
4021440
JEFF J METZL
IAR
4007285
THOMAS WALLACH
IAR
4023524
CURT JOHN KARAS
IAR
4052044
MICHAEL JOHN SKAGEN
IAR
4085157
DAVID JOHN KARLSON
IAR
4229938
GERALD WALTER DEUTSCH
IAR
4264246
JESSE DAVID CLARK
IAR
4211785
JASON WAYNE MOONEY
IAR
4217277
LEE'DYA ANNIECE HOUZE
IAR
4215707
JAMES WESLEY MCINTYRE
IAR
4215535
AMANDA OVERTON REID
IAR
4226056
RICHARD LEE BOTTORF
IAR
4286754
RANDAL J RENKEL
IAR
4288069