SourcingSourcing

CETERA INVESTMENT MANAGEMENT LLC

C19
CRD 165436·SEC 801-77403·SCHAMBURG, IL
AUM
$0
<$25M
Est. Revenue
$0
@ 1% on AUM
Est. EBITDA
$0
@ 30% margin
Est. Deal Value
$0
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CETERA INVESTMENT MANAGEMENT LLC
CRD
165436
SEC file #
801-77403
EIN
461492790
DBA names
—

Economics

AUM
$0
AUM band
<$25M
AUM trajectory
—
Client mix
—

Operations

Employees (total)
25
Advisory staff (per ADV)
9
Advisory staff (5-yr trend)
'20'26
7 advisors → 9 advisors▲ +29%
Primary office
SCHAMBURG IL
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Other Advisory Services
Fee basis
Other Compensation

Filings

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

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CETERA FINANCIAL GROUP, INC.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
14
Control Persons
CETERA FINANCIAL GROUP, INC.
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
CETERA.COM
Rdap Domain Creation Date
1997-10-06T04:00:00Z
Rdap Firm Age Years
29
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001665979
Edgar Registered
Yes
Edgar Filing Count
10
Edgar First Filing Date
2016-02-16
Edgar Last Filing Date
2018-02-08
Edgar 13f Count
10
Edgar 13f Latest AUM Estimate
Filing Date2018-02-08
Accession0001665979-18-000002
Edgar Former Names
TOWER SQUARE INVESTMENT MANAGEMENT, LLC

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
10
Bc Firm Active IA Count
11
Bc Firm IAR Count
11
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
200 N SEPULVEDA BLVDSTE 1200EL SEGUNDO, CA 90245
Business
200 N SEPULVEDA BLVDSTE 1200EL SEGUNDO, CA 90245
Edgar EIN
461492790
Edgar Recent Filings
13F-HR2018-02-08 · 0001665979-18-000002
13F-HR2017-11-14 · 0001665979-17-000005
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-10-05T04:00:00Z
Rdap Domain Last Changed
2025-12-17T13:55:35Z
Rdap Nameservers
Ns-1081.awsdns-07.orgNs-1548.awsdns-01.co.ukNs-193.awsdns-24.comNs-829.awsdns-39.net
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
No

People (23)

23
GOLDMAN, GENE, FITZGERALD
IAR · Executive Officer · 2.5%
2630667
BUCHHEISTER, JEFFREY, ROBERT
Executive Officer · 2.5%
4709900
NEARY, JOSEPH, DANIEL
Executive Officer · 2.5%
2993505
SHORES, ALLAN, KEITH
Executive Officer · 2.5%
5198775
Budevich, Serge
Executive Officer · 2.5%
7996345
GOK, LISA, ANNE
Executive Officer · 2.5%
5059738
LEE, WINNIE, AI-LING
Executive Officer · 2.5%
7381661
Mackay, Todd, Christopher
Executive Officer · 2.5%
2799860
Mizuguchi, Maura, Rie
Executive Officer · 2.5%
5769181
JOSE LUIS RODRIGUEZ
Executive Officer · 2.5%
2105127
SMILEY, STANLEY, ROBERT
Executive Officer · 2.5%
3004604
Van Havermaat, David, James
Executive Officer · 2.5%
7042846
Vays, Tamas
Executive Officer · 2.5%
6474519
RICHARD PAUL ANDERSON
IAR
1280599
HRISTO STEFANOV
IAR
6180442
ROSS KRONHOLM
IAR
4743512
VAISHALI KOTHARI
IAR
4602117
Tyler Akerlind
IAR
7061711
COLLIN DANIEL MARTIN
IAR
5490846
SHANNON LEE OTTERBECK
IAR
4243413
BREGOZZO, MATTHEW, GREGORY
IAR
5881295
HALEY, KRISTY, MARIE
IAR
4022155
BRIAN KLIMKE
IAR
4690819