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 is an independent registered investment adviser that has been SEC-registered since 1984. The firm serves both individual/family clients and institutional investors and operates as a capital allocator, placing client capital with external managers in addition to managing portfolios directly. Its advisory services include financial planning, portfolio management for individuals, small businesses and institutions, selection of other advisers, pension consulting, and educational seminars. Fee arrangements are mixed: percentage-of-AUM billing alongside hourly and fixed-fee engagements. The firm does not identify as an active ESG investor in its snapshot.
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 234
Lockett Crowe
Executive Vice President and Chief Marketing OfficerCRD 3160820
Michael Cartolano
Chief Operating OfficerCRD 6067871
Nicholas Casagrande
Founder & CEOCRD 4288486
Contacts
3 of 10208Nick Lyons
Financial AdvisorCRD 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 2,538Active vs passive
$91B in ETFs
71%
$64.4B
23%
$26.6B
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES CORE S&P 500 ETF (IVV) | BlackRock | Passive | Large Blend | $3.6B | 4,755,509 | 3.92% |
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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