Cetera Investment Management Llc
- Regulatory AUM
- —
- Discretionary
- —
- Clients
- —
- Avg AUM / client
- —
- Accounts
- —
- Employees
- 25
AUM over time
Annual snapshots from Form ADV filings · as of Apr 01, 2026
People (12)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Fries, Matthew, Neil Kalani | Vice President | Jul 2024 (2y) | Less than 5% | |
| Hristo Stefanov | Registered representative | CFA | Mar 2014 (12y) | |
| Collin Daniel Martin | Registered representative | CFA | Jun 2015 (11y) | |
| Shannon Lee Otterbeck | Registered representative | Jun 2015 (11y) | ||
| Brian Klimke | Registered representative | CFA | Jul 2015 (11y) | |
| Gene Fitzgerald Goldman | Registered representative | CFA | Jul 2015 (11y) | |
| Vaishali Kothari | Registered representative | Jul 2015 (11y) | ||
| Matthew Gregory Bregozzo | Registered representative | Nov 2015 (11y) | ||
| Kristy Marie Haley | Registered representative | Jan 2016 (11y) | ||
| Richard Paul Anderson | Registered representative | Jul 2017 (9y) | ||
| Ross Kronholm | Registered representative | CFP | Aug 2023 (3y) | |
| Tyler Akerlind | Registered representative | CFA | Aug 2023 (3y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Gc Two Intermediate Holdings, Inc | Owner | Dec 2012 | B | 75% or more of Aretec Group, Inc. (indirect) |
| Gc Two Holdings, Inc | Owner | Jul 2018 | B | 75% or more of Gc Two Intermediate Holdings, Inc (indirect) |
| Gc Three Holdings, Llc | Owner | Jul 2018 | B | 75% or more of Gc Two Holdings, Inc (indirect) |
| Cetera Financial Group, Inc | Sole Member | Oct 2009 | B | 75% or more of Cetera Financial Group, Inc. (indirect) |
Undisclosed: 95% – 100% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/01/2026 | 1.57 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Other fees
- • NO COMPENSATION RECEIVED
Services
- • Other services
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 01, 2026.
View current Form ADV (SEC/IAPD) ↗