CETERA INVESTMENT ADVISERS LLC
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
FINTRXOverview
Cetera Investment Advisers LLC operates as an independent registered investment adviser and capital allocator that traces its SEC registration back to 1984. The firm serves both individual/family clients and institutional clients, offering financial planning, discretionary portfolio management for individuals and businesses, pension consulting and adviser selection, and educational workshops. Fee arrangements are flexible across percentage-of-AUM, hourly, and fixed-fee models. The firm is not flagged as an active ESG investor in the source data and maintains industry linkages that include broker-dealer, trust company, insurance company, registered municipal advisor and related adviser relationships.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds77%
- Exchange Traded Equities15%
- Cash & Cash Equivalents3%
- US Government Bonds2%
- State & Local Bonds1%
Owners & executives
3 of 233Lockett Crowe
Executive Vice President and Chief Marketing OfficerCRD 3160820
MICHAEL CARTOLANO
Chief Operating OfficerCRD 6067871
NICHOLAS CASAGRANDE
Founder & CEOCRD 4288486
Contacts
3 of 10229Nick Lyons
Investment Adviser RepresentativeCRD 7551916
LEE ROGGENBURG
Investment Advisor RepresentativeCRD 4541403
Jeffrey Bressner
Investment Advisor RepresentativeCRD 6894691
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 2,434Active vs passive
$78.2B in ETFs
72%
$56.4B
23%
$21.8B
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES CORE S&P 500 ETF (IVV) | BlackRock | Passive | Large Blend | $2.8B | 4,260,894 | 3.56% |
Location
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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