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CETERA INVESTMENT ADVISERS LLC
CRD 105644File 801-20406
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Aug 13, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$256.81B
Top 10% of cohort (national)
Discretionary AUM
$209.14B
Non-discretionary $47.67B
Clients
813,961
813,961 accounts
Employees
10,251
Top 10% of cohort in IL
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jan 13, 1984
- Principal office
- 1450 AMERICAN LANE, 6TH FLOOR, SUITE 650, SCHAUMBURG, IL, 60173-2096
- Phone
- 310-257-7880
- Website
- HTTP://CETERA.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $256.81B
- Discretionary AUM
- $209.14B
- Non-discretionary AUM
- $47.67B
- Discretionary accounts
- 680,405
- Non-discretionary accounts
- 133,556
- Total accounts
- 813,961
- AUM per client
- $316K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 3,884 | $5.94B |
| Non-U.S. persons | Fewer than 5 | Not reported |
| Insurance companies | Fewer than 5 | Not reported |
| Charitable organizations | 2,036 | $1.93B |
| Other investment advisers | Fewer than 5 | Not reported |
| High net worth individuals | 79,279 | $69.83B |
| Banking or thrift institutions | Fewer than 5 | Not reported |
| Pension and profit sharing plans | 6,324 | $3.45B |
| State or municipal government entities | 65 | $112.5M |
| Individuals (other than high net worth individuals) | 722,373 | $175.55B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- Yes
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11G
- Q11A1
- Q11B1
- Q11C2
- Q11C4
- Q11C5
- Q11D1
- Q11D2
- Q11D4
- Q11E1
- Q11E2
- Q11E4
- Q11H1A
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 7,705 | 10,251 | increased by2,546 |
| Apr 1, 2026 | Clients | 584,487 | 813,961 | increased by229,474 |
| Apr 1, 2026 | AUM | $163,792,814,520 | $256,813,748,739 | increased by$93,020,934,219 |
| Apr 1, 2026 | Accounts | 584,487 | 813,961 | increased by229,474 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 3,055 | 7,705 | increased by4,650 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 169,758 | 584,487 | increased by414,729 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $35,761,561,074 | $163,792,814,520 | increased by$128,031,253,446 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 169,758 | 584,487 | increased by414,729 |
| Apr 1, 2022 | Employees | 2,967 | 3,055 | increased by88 |
| Apr 1, 2022 | Clients | 129,757 | 169,758 | increased by40,001 |
| Apr 1, 2022 | AUM | $28,325,892,693 | $35,761,561,074 | increased by$7,435,668,381 |
| Apr 1, 2022 | Accounts | 129,758 | 169,758 | increased by40,000 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CETERA INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CETERA INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.