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Asset manager · Schamburg, IL

Cetera Investment Management LLC

SEC-registered investment adviser · CRD 165436 · SEC 801-77403

At a glance

Cetera Investment Management LLC is an SEC-registered investment adviser based in Schamburg, Illinois, with $0 in regulatory assets under management as of its Form ADV filed August 11, 2026. By Form ADV it is a asset manager, ranked 2,657th of 3,218 asset managers and 16,637th of 17,210 SEC-registered advisers by assets.

Main office 310-257-7880cetera.comAs filed on Form ADV

Regulatory AUM
$0M
Rank among asset managers
#2,657 of 3,218
Rank among all SEC RIAs
#16,637 of 17,210
Rank in Illinois
#666 of 684
Clients
0
Accounts
0
Discretionary
0% of AUM
Employees
25
Advisory staff
9
Offices
5

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Cetera Investment Management LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Hybrid RIA

Cetera Investment Management LLC is a hybrid RIA: 18 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC and Cetera Wealth Services, LLC.

Other hybrid RIAs

Disciplinary disclosures

Cetera Investment Management LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗

Services

  • Other services

How it’s paid

  • Other

Form ADV and brochures on the SEC’s adviser search ↗cetera.com ↗

AtlasMembers

The full record on Cetera Investment Management LLC

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, ten years of filings
Locked
Growth over one, three and five years
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Rank against 626 peers of its type and size
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Owners and executives, with titles and stakes
14 namedLocked
Main office, fax and compliance officer
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Filing changes this year, with alerts
1Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Cetera Investment Management LLC manage?

Cetera Investment Management LLC reports $0 in regulatory assets under management, on its Form ADV filed August 11, 2026.

What kind of firm is Cetera Investment Management LLC?

Cetera Investment Management LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.

Does Cetera Investment Management LLC have any disciplinary history?

Cetera Investment Management LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.

Where these numbers come from

Every figure is Cetera Investment Management LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-11), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →