Cetera Investment Advisers — 13F Holdings & Portfolio
CIK 1666741 · latest 13F-HR filed 2026-08-12
Cetera Investment Advisers manages $109.76B in 13F-reported U.S. long-equity assets across 5,007 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are IVV (3.24%), AAPL (1.94%), NVDA (1.80%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 355 new positions and exited 166; 2,764 existing positions rose in reported value and 1,008 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
Loading holdings…
AUM
$109.76B
Long-equity book
Holdings
5,007
Distinct positions
Period
2026-06-30
Filed 2026-08-12
Q/Q Activity
+355 / −166 / ↑2764 / ↓1008
vs 2026-03-31
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Firm Profile & Key People
As of the firm’s regulatory filing dated Oct 23, 2026.
Assets Under Management
$256.81B
Discretionary
$209.14B
Employees
10,251
Accounts
813,961
Address
1450 AMERICAN LANE
6TH FLOOR, SUITE 650
SCHAUMBURG, IL 60173-2096
6TH FLOOR, SUITE 650
SCHAUMBURG, IL 60173-2096
Phone
(310) 257-7880
This firm reports 13 disclosure items on its registration.
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| BUCHHEISTER, JEFFREY, ROBERT Control | CHIEF FINANCIAL OFFICER, MANAGER since May 2021 | Less than 5% | Individual |
| CETERA FINANCIAL SPECIALISTS SERVICES LLC Control | SOLE MEMBER since Jun 1998 | 75% or more | Domestic Entity |
| Gok, Lisa, Anne Control | SECRETARY since May 2021 | Less than 5% | Individual |
| HALEY, KRISTY, MARIE Control | CHIEF COMPLIANCE OFFICER, ADVISORY since Nov 2015 | Less than 5% | Individual |
| Mizuguchi, Maura, Rie Control | CHIEF ACCOUNTING OFFICER since May 2021 | Less than 5% | Individual |
| NEARY, JOSEPH, DANIEL Control | VP, MANAGER, CEO AND PRESIDENT since May 2019 | Less than 5% | Individual |
| SMILEY, STANLEY, ROBERT Control | VICE PRESIDENT since Apr 2012 | Less than 5% | Individual |
| Van Havermaat, David, James Control | ASST. SECRETARY since Apr 2021 | Less than 5% | Individual |
| Budevich, Serge | VICE PRESIDENT, TAX OFFICER since Nov 2024 | Less than 5% | Individual |
| HOLLORAN, WILLIAM, THOMAS | VICE PRESIDENT since Jan 2024 | Less than 5% | Individual |
| Kirwin, Scott, M | ASSISTANT SECRETARY since May 2027 | Less than 5% | Individual |
| LEE, WINNIE, AI-LING | ASSISTANT SECRETARY since May 2022 | Less than 5% | Individual |
| Mackay, Todd, Christopher | MANAGER since Jan 2025 | Less than 5% | Individual |
| Molnar, Michael, James | VICE PRESIDENT since Mar 2026 | Less than 5% | Individual |
| NILAND, ERIK, BRADLEY | VICE PRESIDENT since Jun 2026 | Less than 5% | Individual |
| OBrien, Edward, D | MANAGER since Jun 2026 | Less than 5% | Individual |
| RUMMEL, LEANN, RENEE | VICE PRESIDENT since Sep 2017 | Less than 5% | Individual |
| Vays, Tamas | SECRETARY since Dec 2024 | Less than 5% | Individual |
| WATTS, ANDREW, DAVID | VICE PRESIDENT since Sep 2025 | Less than 5% | Individual |
| ARETEC GROUP, INC. Control Indirect owner via CETERA FINANCIAL HOLDINGS, INC. | OWNER since Dec 2009 | 75% or more | Domestic Entity |
| CETERA FINANCIAL GROUP, INC. Control Indirect owner via CETERA FINANCIAL SPECIALISTS SERVICES LLC | SOLE MEMBER since Oct 2012 | 75% or more | Domestic Entity |
| CETERA FINANCIAL HOLDINGS, INC. Control Indirect owner via CETERA FINANCIAL GROUP, INC. | OWNER since Oct 2009 | 75% or more | Domestic Entity |
| GC TWO HOLDINGS, INC Control Indirect owner via GC TWO INTERMEDIATE HOLDINGS, INC | OWNER since Jul 2018 | 75% or more | Domestic Entity |
| GC TWO INTERMEDIATE HOLDINGS, INC Control Indirect owner via ARETEC GROUP, INC. | OWNER since Dec 2012 | 75% or more | Domestic Entity |
| GC THREE HOLDINGS, LLC Indirect owner via GC TWO HOLDINGS, INC | OWNER since Jul 2023 | 75% or more | Domestic Entity |
Ownership & leadership changes · 53 filings with changes since Jan 27, 2012
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Oct 23, 2026 filing
- No longer listedFRIES, MATTHEW, NEIL KALANI · VICE PRESIDENT · Less than 5% · listed since Aug 2024
- No longer listedKRUEGER, RONALD, GEORGE · VICE PRESIDENT · Less than 5% · control person · listed since Jul 2020
Aug 11, 2026 filing
- AddedNILAND, ERIK, BRADLEY · VICE PRESIDENT · Less than 5%
- AddedOBrien, Edward, D · MANAGER · Less than 5%
- ChangedGok, Lisa, Anne · title SECRETARY, MANAGER → SECRETARY
Apr 1, 2026 filing
- No longer listedGOOLEY, THOMAS, ANDREW · MANAGER · Less than 5% · control person · listed since May 2021
- ChangedGok, Lisa, Anne · title SECRETARY → SECRETARY, MANAGER
Mar 24, 2026 filing
- No longer listedSHORES, ALLAN, KEITH · TREASURER · Less than 5% · listed since Apr 2021
- AddedMolnar, Michael, James · VICE PRESIDENT · Less than 5%
Nov 3, 2025 filing
- No longer listedCarr, Jeremy, Scott · SECRETARY · Less than 5% · listed since Dec 2024
- No longer listedChaffin, Gary, Lynn · TAX OFFICER · Less than 5% · control person · listed since May 2021
- No longer listedHOLWEGER, KIMBERLEY · CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER · Less than 5% · control person · listed since Mar 2023
- AddedBudevich, Serge · VICE PRESIDENT, TAX OFFICER · Less than 5%
- AddedWATTS, ANDREW, DAVID · VICE PRESIDENT · Less than 5%
- ChangedBUCHHEISTER, JEFFREY, ROBERT · title CHIEF FINANCIAL OFFICER → CHIEF FINANCIAL OFFICER, MANAGER
May 29, 2025 filing
- AddedKirwin, Scott, M · ASSISTANT SECRETARY · Less than 5%
Mar 28, 2025 filing
- AddedCarr, Jeremy, Scott · SECRETARY · Less than 5%
- AddedFRIES, MATTHEW, NEIL KALANI · VICE PRESIDENT · Less than 5%
- AddedMackay, Todd, Christopher · MANAGER · Less than 5%
- AddedVays, Tamas · SECRETARY · Less than 5%
- Listed againVan Havermaat, David, James · ASST. SECRETARY · Less than 5% · control person
Jan 21, 2025 filing
- No longer listedTaylor, Thomas, Byron · CHIEF EXECUTIVE OFFICER & PRESIDENT · Less than 5% · control person · listed since Dec 2019
- ChangedNEARY, JOSEPH, DANIEL · title VP, MANAGER → VP, MANAGER, CEO AND PRESIDENT
Sep 20, 2024 filing
- No longer listedVan Havermaat, David, James · ASSISTANT SECRETARY · Less than 5% · control person · listed since May 2021
- ChangedNEARY, JOSEPH, DANIEL · title MANAGER → VP, MANAGER
Jun 6, 2024 filing
- ChangedTaylor, Thomas, Byron · title CHEIF EXECUTIVE OFFICER & PRESIDENT → CHIEF EXECUTIVE OFFICER & PRESIDENT
Older changes (44 more filings)
Mar 28, 2024 filing
- No longer listedARETEC GROUP, INC. · SOLE MEMBER · 75% or more · indirect via CETERA FINANCIAL GROUP, INC. · control person · listed since Apr 2014
- AddedARETEC GROUP, INC. · OWNER · 75% or more · indirect via CETERA FINANCIAL HOLDINGS, INC. · control person
- AddedGC THREE HOLDINGS, LLC · OWNER · 75% or more · indirect via GC TWO HOLDINGS, INC
- AddedGC TWO HOLDINGS, INC · OWNER · 75% or more · indirect via GC TWO INTERMEDIATE HOLDINGS, INC · control person
- AddedGC TWO INTERMEDIATE HOLDINGS, INC · OWNER · 75% or more · indirect via ARETEC GROUP, INC. · control person
- ChangedCETERA FINANCIAL HOLDINGS, INC. · indirect via CETERA FINANCIAL GROUP, INC.: title SOLE MEMBER → OWNER
Jan 8, 2024 filing
- No longer listedHARRISON, BRETT, LAMAR · VICE PRESIDENT · Less than 5% · listed since Apr 2021
- AddedHOLLORAN, WILLIAM, THOMAS · VICE PRESIDENT · Less than 5%
Sep 19, 2023 filing
- No longer listedBowman, Timothy, Joseph · PRINCIPAL FINANCIAL OFFICER · Less than 5% · control person · listed since Jun 2021
Apr 17, 2023 filing
- No longer listedIyengar, Janani, Ravi · ASSISTANT SECRETARY · Less than 5% · control person · listed since May 2021
Mar 15, 2023 filing
- AddedHOLWEGER, KIMBERLEY · CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER · Less than 5% · control person
Jan 6, 2023 filing
- No longer listedGill, George, Andrew · VICE PRESIDENT · Less than 5% · control person · listed since May 2021
Jun 3, 2022 filing
- No longer listedKIM, DAVID · ASSISTANT SECRETARY · Less than 5% · listed since Dec 2019
- AddedLEE, WINNIE, AI-LING · ASSISTANT SECRETARY · Less than 5%
Jun 30, 2021 filing
- AddedSHORES, ALLAN, KEITH · TREASURER · Less than 5%
- Listed againHARRISON, BRETT, LAMAR · VICE PRESIDENT · Less than 5%
Jun 16, 2021 filing
- Listed againBowman, Timothy, Joseph · PRINCIPAL FINANCIAL OFFICER · Less than 5% · control person
- ChangedBUCHHEISTER, JEFFREY, ROBERT · title CHIEF FINANCIAL OFFICER AND PRINIPAL FINANCIAL OFFICER → CHIEF FINANCIAL OFFICER
May 27, 2021 filing
- No longer listedBowman, Timothy, Joseph · PRINCIPAL FINANCIAL OFFICER · Less than 5% · control person · listed since Apr 2021
- No longer listedOLSON, GREGORY, ALAN · SECRETARY · Less than 5% · listed since Dec 2019
- No longer listedROTHENBERG, JON, HOWARD · VICE PRESIDENT, OPERATIONS, & SECRETARY · Less than 5% · control person · listed since Apr 2012
- AddedBUCHHEISTER, JEFFREY, ROBERT · CHIEF FINANCIAL OFFICER AND PRINIPAL FINANCIAL OFFICER · Less than 5% · control person
- AddedChaffin, Gary, Lynn · TAX OFFICER · Less than 5% · control person
- AddedGOOLEY, THOMAS, ANDREW · MANAGER · Less than 5% · control person
- AddedGill, George, Andrew · VICE PRESIDENT · Less than 5% · control person
- AddedIyengar, Janani, Ravi · ASSISTANT SECRETARY · Less than 5% · control person
- AddedKRUEGER, RONALD, GEORGE · VICE PRESIDENT · Less than 5% · control person
- AddedMizuguchi, Maura, Rie · CHIEF ACCOUNTING OFFICER · Less than 5% · control person
- AddedVan Havermaat, David, James · ASSISTANT SECRETARY · Less than 5% · control person
- Listed againGok, Lisa, Anne · SECRETARY · Less than 5% · control person
Apr 13, 2021 filing
- No longer listedHorwith, Theodore, Robert · TREASURER AND PRINCIPAL FINANCIAL OFFICER · Less than 5% · listed since Dec 2020
- AddedBowman, Timothy, Joseph · PRINCIPAL FINANCIAL OFFICER · Less than 5% · control person
Dec 23, 2020 filing
- No longer listedSHELSON, MARK, PAUL · TREASURER · Less than 5% · control person · listed since Apr 2012
- AddedHorwith, Theodore, Robert · TREASURER AND PRINCIPAL FINANCIAL OFFICER · Less than 5%
Jul 13, 2020 filing
- No longer listedRUVOLI, GREGG, ALAN · VICE PRESIDENT · Less than 5% · control person · listed since May 2015
Apr 8, 2020 filing
- No longer listedBONNEAU, CATHERINE, MCCORMACK · VICE PRESIDENT & MANAGER · Less than 5% · control person · listed since Oct 2013
Dec 5, 2019 filing
- No longer listedHARRISON, BRETT, LAMAR · MANAGER, CEO, PRESIDENT · Less than 5% · control person · listed since Jul 2015
- AddedKIM, DAVID · ASSISTANT SECRETARY · Less than 5%
- AddedTaylor, Thomas, Byron · CHEIF EXECUTIVE OFFICER & PRESIDENT · Less than 5% · control person
- Listed againOLSON, GREGORY, ALAN · SECRETARY · Less than 5%
- ChangedBONNEAU, CATHERINE, MCCORMACK · title VICE PRESIDENT → VICE PRESIDENT & MANAGER
- ChangedHALEY, KRISTY, MARIE · title CHIEF COMPLIANCE OFFICER → CHIEF COMPLIANCE OFFICER, ADVISORY
- ChangedNEARY, JOSEPH, DANIEL · title MANAGER/DIRECTOR → MANAGER
Aug 27, 2019 filing
- No longer listedANTONIADES, ADAM, NICHOLAS · MANAGER · Less than 5% · control person · listed since Jan 2015
- AddedNEARY, JOSEPH, DANIEL · MANAGER/DIRECTOR · Less than 5% · control person
Mar 29, 2018 filing
- No longer listedARETEC GROUP, INC. · SOLE MEMBER · 75% or more · indirect via ARETEC GROUP, INC. · control person · listed since Apr 2014
- AddedARETEC GROUP, INC. · SOLE MEMBER · 75% or more · indirect via CETERA FINANCIAL GROUP, INC. · control person
Sep 11, 2017 filing
- AddedRUMMEL, LEANN, RENEE · VICE PRESIDENT · Less than 5%
Mar 30, 2017 filing
- No longer listedVASQUEZ, ENRIQUE, MARTIN · VICE PRESIDENT · Less than 5% · control person · listed since May 2015
Jun 10, 2016 filing
- No longer listedRCS CAPITAL CORPORATION · SOLE MEMBER · 75% or more · indirect via RCS CAPITAL HOLDINGS, LLC · control person · listed since Apr 2014
- No longer listedRCS CAPITAL HOLDINGS, LLC · SHAREHOLDER; 100% OF COMMON STOCK · 75% or more · indirect via CETERA FINANCIAL HOLDINGS, INC. · control person · listed since Apr 2014
- AddedARETEC GROUP, INC. · SOLE MEMBER · 75% or more · indirect via ARETEC GROUP, INC. · control person
- ChangedCETERA FINANCIAL HOLDINGS, INC. · indirect via CETERA FINANCIAL GROUP, INC.: title SHAREHOLDER; 100% OF COMMON STOCK → SOLE MEMBER
Mar 29, 2016 filing
- No longer listedHAMEL, CYNTHIA, A · VICE PRESIDENT · Less than 5% · control person · listed since Apr 2012
Nov 24, 2015 filing
- No longer listedSHAH, AMI · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Jan 2014
- AddedHALEY, KRISTY, MARIE · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Sep 14, 2015 filing
- No longer listedGok, Lisa, Anne · ASSISTANT SECRETARY · Less than 5% · control person · listed since Jan 2015
- No longer listedOLSON, GREGORY, ALAN · ASSISTANT SECRETARY · Less than 5% · control person · listed since Jan 2015
Aug 19, 2015 filing
- AddedRUVOLI, GREGG, ALAN · VICE PRESIDENT · Less than 5% · control person
- Listed againVASQUEZ, ENRIQUE, MARTIN · VICE PRESIDENT · Less than 5% · control person
Aug 17, 2015 filing
- No longer listedDUNLAP, STEVEN, JAMES · PRESIDENT & CEO & MANAGER · Less than 5% · control person · listed since Jul 2013
- ChangedHARRISON, BRETT, LAMAR · title MANAGER → MANAGER, CEO, PRESIDENT
Jul 15, 2015 filing
- No longer listedROTH, RALPH, LAWRENCE · MANAGER · Less than 5% · control person · listed since May 2014
- No longer listedVASQUEZ, ENRIQUE, MARTIN · VICE PRESIDENT & MANAGER · Less than 5% · control person · listed since Jul 2012
- AddedANTONIADES, ADAM, NICHOLAS · MANAGER · Less than 5% · control person
- AddedGok, Lisa, Anne · ASSISTANT SECRETARY · Less than 5% · control person
- AddedHARRISON, BRETT, LAMAR · MANAGER · Less than 5% · control person
- AddedOLSON, GREGORY, ALAN · ASSISTANT SECRETARY · Less than 5% · control person
Oct 8, 2014 filing
- No longer listedRAMOS, RAMON · MONEY LAUNDERING REPORTING OFFICER · Less than 5% · listed since Feb 2013
Oct 2, 2014 filing
- No longer listedSHAY, JAMES, WALTER · VICE PRESIDENT, HEAD OF RISK MANAGEMENT · Less than 5% · control person · listed since Apr 2012
Jun 30, 2014 filing
- No longer listedBROWN, VALERIE, GAY · MANAGER & CHAIRMAN · Less than 5% · control person · listed since Apr 2012
- AddedROTH, RALPH, LAWRENCE · MANAGER · Less than 5% · control person
- ChangedRAMOS, RAMON · title MONEY LAUNDERING REGULATORY OFFICER → MONEY LAUNDERING REPORTING OFFICER
May 27, 2014 filing
- No longer listedCETERA FINANCIAL HOLDINGS, IN.C · SHAREHOLDER; 100% OF COMMON STOCK · 75% or more · indirect via CETERA FINANCIAL GROUP, INC. · control person · listed since Nov 2009
- No longer listedLIGHTYEAR FUND II GP HOLDINGS, LLC · GENERAL PARTNER · General partner, trustee or manager · indirect via LIGHTYEAR FUND II GP, LP · control person · listed since Sep 2005
- No longer listedLIGHTYEAR FUND II GP, LP · GENERAL PARTNER · General partner, trustee or manager · indirect via LIGHTYEAR II, LP · control person · listed since Aug 2005
- No longer listedLIGHTYEAR FUND II, LP · SHAREHOLDER; 79.3% OF COMMON STOCK · 75% or more · indirect via CETERA FINANCIAL HOLDINGS, INC. · control person · listed since Nov 2009
- No longer listedLY HOLDINGS, LLC · MANAGING MEMBER · 75% or more · indirect via LIGHTYEAR FUND II GP HOLDINGS, LLC · control person · listed since Dec 2013
- No longer listedVASSALLO, MARK, FRANCIS · MANAGING MEMBER · 75% or more · indirect via LY HOLDINGS, LLC · control person · listed since Dec 2013
- AddedCETERA FINANCIAL HOLDINGS, INC. · SHAREHOLDER; 100% OF COMMON STOCK · 75% or more · indirect via CETERA FINANCIAL GROUP, INC. · control person
- AddedRCS CAPITAL CORPORATION · SOLE MEMBER · 75% or more · indirect via RCS CAPITAL HOLDINGS, LLC · control person
- AddedRCS CAPITAL HOLDINGS, LLC · SHAREHOLDER; 100% OF COMMON STOCK · 75% or more · indirect via CETERA FINANCIAL HOLDINGS, INC. · control person
Mar 31, 2014 filing
- AddedRAMOS, RAMON · MONEY LAUNDERING REGULATORY OFFICER · Less than 5%
Jan 31, 2014 filing
- No longer listedCHESTNUT VENTURE HOLDINGS, LLC · SOLE MEMBER · 75% or more · indirect via MARRON & ASSOCIATES, LLC · control person · listed since Dec 2007
- No longer listedMARRON & ASSOCIATES, LLC · MANAGING MEMBER · General partner, trustee or manager · indirect via LIGHTYEAR FUND II GP HOLDINGS, LLC · control person · listed since Aug 2005
- No longer listedMARRON, DONALD, BAIRD · SOLE MEMBER · 75% or more · indirect via CHESTNUT VENTURE HOLDINGS, LLC · control person · listed since Mar 2012
- AddedLY HOLDINGS, LLC · MANAGING MEMBER · 75% or more · indirect via LIGHTYEAR FUND II GP HOLDINGS, LLC · control person
- AddedVASSALLO, MARK, FRANCIS · MANAGING MEMBER · 75% or more · indirect via LY HOLDINGS, LLC · control person
Jan 14, 2014 filing
- No longer listedJACOBSEN, BRYAN, K · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Apr 2012
- AddedSHAH, AMI · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Jan 2, 2014 filing
- ChangedDUNLAP, STEVEN, JAMES · title MANAGER & VICE PRESIDENT → PRESIDENT & CEO & MANAGER
- ChangedVASQUEZ, ENRIQUE, MARTIN · title PRESIDENT, CHIEF EXECUTIVE OFFICER & MEMBER → VICE PRESIDENT & MANAGER
Dec 11, 2013 filing
- AddedBONNEAU, CATHERINE, MCCORMACK · VICE PRESIDENT · Less than 5% · control person
Jul 24, 2013 filing
- AddedDUNLAP, STEVEN, JAMES · MANAGER & VICE PRESIDENT · Less than 5% · control person
- ChangedBROWN, VALERIE, GAY · title MEMBER & CHAIRMAN → MANAGER & CHAIRMAN
Jul 3, 2013 filing
- No longer listedGRIST, BARNABY, JAMES · MEMBER & VICE PRESIDENT · Less than 5% · control person · listed since Apr 2012
May 8, 2013 filing
- ChangedLIGHTYEAR FUND II, LP · indirect via CETERA FINANCIAL HOLDINGS, INC.: title SHAREHOLDER; 99.736% OF COMMON STOCK → SHAREHOLDER; 79.3% OF COMMON STOCK
Apr 1, 2013 filing
- AddedSMILEY, STANLEY, ROBERT · VICE PRESIDENT · Less than 5% · control person
Feb 15, 2013 filing
- No longer listedCETERA FINANCIAL GROUP, INC. · SHAREHOLDER; 100% OF COMMON STOCK · 75% or more · indirect via GENWORTH FINANCIAL INVESTMENT SERVICES, INC. · control person · listed since Apr 2012
- No longer listedGENWORTH FINANCIAL INVESTMENT SERVICES, INC. · SHAREHOLDER COMMON · 75% or more · control person · listed since Jun 1998
- AddedCETERA FINANCIAL GROUP, INC. · SOLE MEMBER · 75% or more · indirect via CETERA FINANCIAL SPECIALISTS SERVICES LLC · control person
- AddedCETERA FINANCIAL SPECIALISTS SERVICES LLC · SOLE MEMBER · 75% or more · control person
- ChangedBROWN, VALERIE, GAY · title DIRECTOR & CHAIRMAN → MEMBER & CHAIRMAN
- ChangedGRIST, BARNABY, JAMES · title DIRECTOR & VICE PRESIDENT → MEMBER & VICE PRESIDENT
- ChangedROTHENBERG, JON, HOWARD · title VICE PRESIDENT, OPERATIONS → VICE PRESIDENT, OPERATIONS, & SECRETARY
- ChangedSHAY, JAMES, WALTER · title VICE PRESIDENT, HEAD OF RISK MANAGEMENT & SECRETARY → VICE PRESIDENT, HEAD OF RISK MANAGEMENT
- ChangedVASQUEZ, ENRIQUE, MARTIN · title PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR → PRESIDENT, CHIEF EXECUTIVE OFFICER & MEMBER
May 1, 2012 filing
- AddedJACOBSEN, BRYAN, K · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ChangedSHAY, JAMES, WALTER · title VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & SECRETARY → VICE PRESIDENT, HEAD OF RISK MANAGEMENT & SECRETARY
Apr 5, 2012 filing
- No longer listedAPOSTLE, JOHN, GEORGE · DIRECTOR · Less than 5% · control person · listed since Feb 2008
- No longer listedCORBIN, AMY, RENEE · SENIOR VICE PRESIDENT - CHIEF FINANCIAL OFFICER · Less than 5% · listed since Sep 2011
- No longer listedGENWORTH FINANCIAL, INC. · SHAREHOLDER COMMON · 75% or more · indirect via GNA CORPORATION · control person · listed since May 2004
- No longer listedGENWORTH NORTH AMERICA CORPORATION · SHAREHOLDER COMMON · 75% or more · indirect via GENWORTH FINANCIAL INVESTMENT SERVICES, INC. · listed since Dec 2003
- No longer listedRONCONI, DARRYL, D. · SENIOR VICE PRESIDENT, OPERATIONS & TECHNOLOGY & DIRECTOR · Less than 5% · control person · listed since Oct 2008
- AddedBROWN, VALERIE, GAY · DIRECTOR & CHAIRMAN · Less than 5% · control person
- AddedCETERA FINANCIAL GROUP, INC. · SHAREHOLDER; 100% OF COMMON STOCK · 75% or more · indirect via GENWORTH FINANCIAL INVESTMENT SERVICES, INC. · control person
- AddedCETERA FINANCIAL HOLDINGS, IN.C · SHAREHOLDER; 100% OF COMMON STOCK · 75% or more · indirect via CETERA FINANCIAL GROUP, INC. · control person
- AddedCHESTNUT VENTURE HOLDINGS, LLC · SOLE MEMBER · 75% or more · indirect via MARRON & ASSOCIATES, LLC · control person
- AddedGRIST, BARNABY, JAMES · DIRECTOR & VICE PRESIDENT · Less than 5% · control person
- AddedHAMEL, CYNTHIA, A · VICE PRESIDENT · Less than 5% · control person
- AddedLIGHTYEAR FUND II GP HOLDINGS, LLC · GENERAL PARTNER · General partner, trustee or manager · indirect via LIGHTYEAR FUND II GP, LP · control person
- AddedLIGHTYEAR FUND II GP, LP · GENERAL PARTNER · General partner, trustee or manager · indirect via LIGHTYEAR II, LP · control person
- AddedLIGHTYEAR FUND II, LP · SHAREHOLDER; 99.736% OF COMMON STOCK · 75% or more · indirect via CETERA FINANCIAL HOLDINGS, INC. · control person
- AddedMARRON & ASSOCIATES, LLC · MANAGING MEMBER · General partner, trustee or manager · indirect via LIGHTYEAR FUND II GP HOLDINGS, LLC · control person
- AddedMARRON, DONALD, BAIRD · SOLE MEMBER · 75% or more · indirect via CHESTNUT VENTURE HOLDINGS, LLC · control person
- AddedROTHENBERG, JON, HOWARD · VICE PRESIDENT, OPERATIONS · Less than 5% · control person
- AddedSHELSON, MARK, PAUL · TREASURER · Less than 5% · control person
- ChangedSHAY, JAMES, WALTER · title SENIOR VICE PRESIDENT, GENERAL COUNSEL, & CHIEF COMPLIANCE OFFICER → VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & SECRETARY
Mar 28, 2012 filing
- ChangedSHAY, JAMES, WALTER · now a control person
Jan 27, 2012 filing (earliest on record)
- ListedAPOSTLE, JOHN, GEORGE · DIRECTOR · Less than 5% · control person
- ListedCORBIN, AMY, RENEE · SENIOR VICE PRESIDENT - CHIEF FINANCIAL OFFICER · Less than 5%
- ListedGENWORTH FINANCIAL INVESTMENT SERVICES, INC. · SHAREHOLDER COMMON · 75% or more · control person
- ListedGENWORTH FINANCIAL, INC. · SHAREHOLDER COMMON · 75% or more · indirect via GNA CORPORATION · control person
- ListedGENWORTH NORTH AMERICA CORPORATION · SHAREHOLDER COMMON · 75% or more · indirect via GENWORTH FINANCIAL INVESTMENT SERVICES, INC.
- ListedRONCONI, DARRYL, D. · SENIOR VICE PRESIDENT, OPERATIONS & TECHNOLOGY & DIRECTOR · Less than 5% · control person
- ListedSHAY, JAMES, WALTER · SENIOR VICE PRESIDENT, GENERAL COUNSEL, & CHIEF COMPLIANCE OFFICER · Less than 5%
- ListedVASQUEZ, ENRIQUE, MARTIN · PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR · Less than 5% · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- ISHARES TR$778.1M +28.0%
- MICRON TECHNOLOGY INC$388.7M +298.0%
- INVESCO QQQ TR$361.6M +27.7%
- APPLE INC$336.1M +18.8%
- ADVANCED MICRO DEVICES INC$330.2M +180.5%
Top Trims
- SPDR SERIES TRUST-$136.7M -34.3%
- ISHARES TR-$128.3M -44.1%
- ISHARES TR-$90.2M -78.7%
- ISHARES TR-$87.2M -28.9%
- EXXON MOBIL CORP-$69.8M -17.3%
New Positions
- BLACKROCK ETF TRUST$107.9M
- BLACKROCK ETF TRUST$97.9M
- BLACKROCK ETF TRUST II$72.1M
- SPACE EXPLORATION TECHN CORP$71.5M
- HONEYWELL AEROSPACE INC$36.3M
Exited Positions
- HONEYWELL INTL INC$70.6M
- COTERRA ENERGY INC$19.9M
- CARNIVAL CORP$9.8M
- MANAGED PORTFOLIO SERIES$7.2M
- DUPONT DE NEMOURS INC$5.8M
Cetera Investment Advisers Holdings (2026-06-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | ISHARES TR | IVV | 464287200 | $3.56B | 3.24% | 4,755,509 | SH |
| 2 | APPLE INC | AAPL | 037833100 | $2.13B | 1.94% | 7,346,095 | SH |
| 3 | NVIDIA CORPORATION | NVDA | 67066G104 | $1.97B | 1.80% | 9,867,279 | SH |
| 4 | VANGUARD INDEX FDS | VTV | 922908744 | $1.74B | 1.59% | 7,986,168 | SH |
| 5 | INVESCO QQQ TR | QQQ | 46090E103 | $1.67B | 1.52% | 2,264,534 | SH |
| 6 | ISHARES TR | AGG | 464287226 | $1.53B | 1.40% | 15,483,118 | SH |
| 7 | VANGUARD INDEX FDS | VOO | 922908363 | $1.52B | 1.39% | 2,217,564 | SH |
| 8 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $1.40B | 1.27% | 1,868,568 | SH |
| 9 | VANGUARD INDEX FDS | VTI | 922908769 | $1.30B | 1.18% | 3,511,558 | SH |
| 10 | VANGUARD INDEX FDS | VUG | 922908736 | $1.26B | 1.15% | 14,652,011 | SH |
| 11 | VANGUARD SCOTTSDALE FDS | VONG | 92206C680 | $1.22B | 1.11% | 9,549,145 | SH |
| 12 | MICROSOFT CORP | MSFT | 594918104 | $1.13B | 1.03% | 3,036,653 | SH |
| 13 | ISHARES TR | IEFA | 46432F842 | $1.12B | 1.02% | 11,556,893 | SH |
| 14 | AMAZON COM INC | AMZN | 023135106 | $1.11B | 1.01% | 4,652,594 | SH |
| 15 | CAPITAL GROUP DIVIDEND VALUE | CGDV | 14020W106 | $900.6M | 0.82% | 18,275,976 | SH |
| 16 | ALPHABET INC | GOOGL | 02079K305 | $812.8M | 0.74% | 2,274,509 | SH |
| 17 | SCHWAB STRATEGIC TR | SCHD | 808524797 | $808.2M | 0.74% | 25,487,103 | SH |
| 18 | ISHARES TR | IWF | 464287614 | $774.9M | 0.71% | 6,240,599 | SH |
| 19 | INVESCO EXCH TRADED FD TR II | QQQM | 46138G649 | $722.8M | 0.66% | 2,385,588 | SH |
| 20 | ISHARES TR | IVE | 464287408 | $696.1M | 0.63% | 3,065,888 | SH |
| 21 | ISHARES TR | IVW | 464287309 | $658.7M | 0.60% | 4,789,797 | SH |
| 22 | SCHWAB STRATEGIC TR | SCHG | 808524300 | $644.2M | 0.59% | 19,036,117 | SH |
| 23 | ISHARES INC | IEMG | 46434G103 | $627.5M | 0.57% | 7,574,258 | SH |
| 24 | BROADCOM INC | AVGO | 11135F101 | $624.6M | 0.57% | 1,653,411 | SH |
| 25 | ISHARES TR | IUSB | 46434V613 | $615.5M | 0.56% | 13,337,519 | SH |
| 26 | VANGUARD TAX-MANAGED FDS | VEA | 921943858 | $580.7M | 0.53% | 8,149,716 | SH |
| 27 | VANGUARD STAR FDS | VXUS | 921909768 | $580.4M | 0.53% | 6,789,217 | SH |
| 28 | ALPHABET INC | GOOG | 02079K107 | $577.8M | 0.53% | 1,635,199 | SH |
| 29 | BLACKROCK ETF TRUST | DYNF | 09290C103 | $535.5M | 0.49% | 7,874,124 | SH |
| 30 | ISHARES TR | IWM | 464287655 | $533.6M | 0.49% | 1,776,101 | SH |
| 31 | VANGUARD BD INDEX FDS | BND | 921937835 | $526.0M | 0.48% | 7,165,064 | SH |
| 32 | MICRON TECHNOLOGY INC | MU | 595112103 | $519.1M | 0.47% | 449,684 | SH |
| 33 | FIRST TR EXCHNG TRADED FD VI | BUFR | 33740F755 | $513.9M | 0.47% | 14,067,678 | SH |
| 34 | ADVANCED MICRO DEVICES INC | AMD | 007903107 | $513.1M | 0.47% | 883,200 | SH |
| 35 | BERKSHIRE HATHAWAY INC DEL | BRK.B | 084670702 | $507.3M | 0.46% | 1,013,879 | SH |
| 36 | CAPITAL GROUP GROWTH ETF | CGGR | 14020G101 | $500.0M | 0.46% | 10,594,267 | SH |
| 37 | JPMORGAN CHASE & CO | JPM | 46625H100 | $484.3M | 0.44% | 1,479,664 | SH |
| 38 | PUTNAM ETF TRUST | PVAL | 746729300 | $479.5M | 0.44% | 9,411,298 | SH |
| 39 | SPDR SERIES TRUST | SPYM | 78464A854 | $459.0M | 0.42% | 5,223,357 | SH |
| 40 | VANGUARD INDEX FDS | VO | 922908629 | $459.0M | 0.42% | 5,696,979 | SH |
| 41 | META PLATFORMS INC | META | 30303M102 | $451.6M | 0.41% | 801,693 | SH |
| 42 | VANGUARD WHITEHALL FDS | VYM | 921946406 | $446.1M | 0.41% | 2,823,051 | SH |
| 43 | ELI LILLY & CO | LLY | 532457108 | $439.0M | 0.40% | 366,026 | SH |
| 44 | TESLA INC | TSLA | 88160R101 | $424.1M | 0.39% | 1,008,225 | SH |
| 45 | ISHARES TR | IJR | 464287804 | $417.0M | 0.38% | 2,811,720 | SH |
| 46 | J P MORGAN EXCHANGE TRADED F | JEPI | 46641Q332 | $390.3M | 0.36% | 6,909,528 | SH |
| 47 | SPDR SERIES TRUST | SPYG | 78464A409 | $388.4M | 0.35% | 3,263,810 | SH |
| 48 | ISHARES TR | MUB | 464288414 | $385.5M | 0.35% | 3,581,966 | SH |
| 49 | VANGUARD INDEX FDS | VB | 922908751 | $384.2M | 0.35% | 1,267,408 | SH |
| 50 | CAPITAL GROUP GBL GROWTH EQT | CGGO | 14020X104 | $374.1M | 0.34% | 8,838,361 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-06-30 | 2026-08-12 | $109.76B | 5,007 | 0001666741-26-000004 |
| 2026-03-31 | 2026-05-13 | $94.00B | 4,790 | 0001666741-26-000002 |
| 2025-12-31 | 2026-02-17 | $91.50B | 4,685 | 0001666741-26-000001 |
| 2025-09-30 | 2025-11-14 | $86.05B | 4,566 | 0001085146-25-005999 |
Filer Information
Address
1450 AMERICAN LANE 6TH FLOORSUITE 650
SCHAUMBURG, IL 60173-2096
Phone
(844) 337-2217
Filing Manager
Cetera Investment Advisers
SCHAUMBURG, IL
Signatory
Kristy Haley
Chief Compliance Office