# Cetera Investment Management LLC

> 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.

- CRD: 165436
- Filed as: CETERA INVESTMENT MANAGEMENT LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Schamburg, IL
- Filing period: October 2026
- Form ADV filing dated: August 11, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/165436
- AdvisorCensus page: https://advisorcensus.com/firm/cetera-investment-management-llc-schamburg-il-165436

## Quick answers

**How is Cetera Investment Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Cetera Investment Management LLC reports these compensation arrangements: other.

**Where is Cetera Investment Management LLC located?**
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).

**Is Cetera Investment Management LLC registered with the SEC or a state?**
Cetera Investment Management LLC is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 165436.

**How have Cetera Investment Management LLC's assets and staff changed since 2021?**
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.

**Does Cetera Investment Management LLC report any disciplinary disclosures?**
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

**What changed in Cetera Investment Management LLC's recent Form ADV filings?**
In the September 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- Other

### Advisory services (Item 5.G)
- Other

### Firm details
- Registered since: 2013 (13 years)
- Employees: 25 total, 9 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, MN
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the September 2026 filing
- El Segundo, CA
- Saint Paul, MN
- San Diego, CA
- St Cloud, MN

### Websites listed on Form ADV (Item 1.I)
- cetera.com/CETERA_INVESTMENT_MANAGEMENT
- ceteraholdings.com
- X @CETERAIM

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | Not reported | 16 | March 26, 2021 |
| October 2022 | Not reported | 15 | June 7, 2022 |
| October 2023 | Not reported | 23 | July 18, 2023 |
| October 2024 | Not reported | 24 | September 20, 2024 |
| October 2025 | Not reported | 23 | June 9, 2025 |
| October 2026 | Not reported | 25 | August 11, 2026 |

Total employees: 16 in October 2021 and 25 in October 2026.

## Changes in the filing (last 12 months)

### September 2026
- Updated its list of owners and control persons (Schedule A).

### May 2026
- Updated its list of owners and control persons (Schedule A).

### February 2026
- Updated its list of owners and control persons (Schedule A).

### December 2025
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Cetera Investment Management LLC (CRD 165436): Form ADV filing data as of October 2026.