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CETERA INVESTMENT ADVISERS LLC

SCHAUMBURG, IL · CRD 105644 · IAPD ↗ · vimeo.com · 310-257-7880

$256.81BRegulatory AUM
9049Advisory reps
10251Employees
24019Clients
More than 500Planning clients
0Private funds
53States
49Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
April 2026 — CETERA INVESTMENT ADVISERS LLC added office(s): 4816 -> 6584 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
71
April 2026 — CETERA INVESTMENT ADVISERS LLC reported RAUM up 57% ($163.79B -> $256.81B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2026 — CETERA INVESTMENT ADVISERS LLC grew from 6825 to 9049 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
June 2025 — CETERA INVESTMENT ADVISERS LLC's Item 11 disclosure-reporting entries rose by 3 (49 -> 52).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2025 — CETERA INVESTMENT ADVISERS LLC added office(s): 1614 -> 4816 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
71
April 2025 — CETERA INVESTMENT ADVISERS LLC reported RAUM up 57% ($104.47B -> $163.79B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2025 — CETERA INVESTMENT ADVISERS LLC grew from 5928 to 6825 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
February 2025 — CETERA INVESTMENT ADVISERS LLC's Item 11 disclosure-reporting entries rose by 4 (46 -> 50).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
January 2025 — CETERA INVESTMENT ADVISERS LLC's Item 11 disclosure-reporting entries rose by 5 (41 -> 46).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
October 2024 — CETERA INVESTMENT ADVISERS LLC's Item 11 disclosure-reporting entries rose by 3 (38 -> 41).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2024 — CETERA INVESTMENT ADVISERS LLC's Item 11 disclosure-reporting entries rose by 12 (26 -> 38).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
75
April 2024 — CETERA INVESTMENT ADVISERS LLC reported RAUM up 213% ($33.36B -> $104.47B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2024 — CETERA INVESTMENT ADVISERS LLC grew from 2788 to 5928 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.