{
  "crd_number": 165436,
  "slug": "cetera-investment-management-llc-schamburg-il-165436",
  "primary_business_name": "CETERA INVESTMENT MANAGEMENT LLC",
  "legal_name": "CETERA INVESTMENT MANAGEMENT LLC",
  "dbas": [],
  "city": "Schamburg",
  "state": "IL",
  "country": "United States",
  "cbsa_code": "16980",
  "metro": {
    "cbsa_code": "16980",
    "common_name": "Chicago",
    "msa_name": "Chicago-Naperville-Elgin, IL-IN",
    "path": "/advisors/il/chicago"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2013-01-03",
  "years_registered": 13,
  "period": "2026-10-01",
  "filing_date": "2026-08-11",
  "carried_forward": false,
  "raum_total": null,
  "raum_discretionary": null,
  "raum_non_discretionary": null,
  "raum_band": "not_reported",
  "raum_band_label": "Not reported",
  "total_employees": 25,
  "advisory_employees": 9,
  "client_count_bucket": null,
  "clients_by_type": null,
  "compensation_types": [
    "other"
  ],
  "advisory_activities": [
    "other"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "MN"
  ],
  "websites": [
    "https://cetera.com/CETERA_INVESTMENT_MANAGEMENT",
    "https://ceteraholdings.com",
    "https://twitter.com/CETERAIM?LANG=EN"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/165436",
  "city_as_filed": "SCHAMBURG",
  "url": "https://advisorcensus.com/firm/cetera-investment-management-llc-schamburg-il-165436",
  "display_name": "Cetera Investment Management LLC",
  "summary": "Cetera Investment Management LLC is an SEC-registered investment advisory firm in Schamburg, IL, registered since 2013, with no regulatory assets under management reported in its Form ADV filing dated August 11, 2026.",
  "citation": "AdvisorCensus. Cetera Investment Management LLC (CRD 165436): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "Other"
  ],
  "advisory_activity_labels": [
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Cetera Investment Management LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Cetera Investment Management LLC reports these compensation arrangements: other. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Cetera Investment Management LLC located?",
      "a": "Cetera Investment Management LLC's principal office is in Schamburg, IL, according to its Form ADV; the September 2026 filing also lists 4 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Cetera Investment Management LLC registered with the SEC or a state?",
      "a": "Cetera Investment Management LLC is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 165436."
    },
    {
      "q": "How have Cetera Investment Management LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Cetera Investment Management LLC: Total employees: 16 in October 2021 and 25 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "Does Cetera Investment Management LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/165436"
    },
    {
      "q": "What changed in Cetera Investment Management LLC's recent Form ADV filings?",
      "a": "In the September 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 16,
      "filing_date": "2021-03-26"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 15,
      "filing_date": "2022-06-07"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 23,
      "filing_date": "2023-07-18"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 24,
      "filing_date": "2024-09-20"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 23,
      "filing_date": "2025-06-09"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 25,
      "filing_date": "2026-08-11"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-09-01",
      "period_label": "September 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/cetera-investment-management-llc-schamburg-il-165436.md",
  "clients": [],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/165436",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}