Form D · Investing

Cetera Advisor Networks LLC /CA

El Segundo, CA · CIK 0001164236

Offering snapshot reported May 16, 2024 · SEC filing

Reported sold
$62.4M
Indefinite offering
Investors reported
245
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Jan 1, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$31.2M$62.4MJan 16, 2009Jan 13, 2010: $2,650,216.00Jan 13, 2011: $2,690,257.00Jan 12, 2012: $3,060,307.00Jan 15, 2013: $3,375,912.00Jan 16, 2014: $47,675,537.00Jan 16, 2015: $51,271,416.00Apr 18, 2016: $51,305,287.00Apr 27, 2017: $51,652,017.00May 7, 2018: $58,516,006.00May 6, 2019: $49,978,914.00May 12, 2020: $60,331,104.00May 26, 2021: $55,216,078.00May 26, 2021: $55,216,078.00Apr 27, 2023: $48,534,787.00May 16, 2024: $62,386,855.00May 16, 2024

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$48,534,787 → $62,386,855
  • Reported investors229 → 245

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 16, 2024Amendment$62,386,855$13,852,068vs Apr 27, 2023245SEC filing
Apr 27, 2023Amendment$48,534,787-$6,681,291vs May 26, 2021229SEC filing
Apr 27, 2023Amendment$48,534,787-$3,154,958vs Apr 29, 2022229SEC filing
Apr 29, 2022Amendment$51,689,745-$3,526,333vs May 19, 2021157SEC filing
May 26, 2021Amendment$55,216,078-$5,115,026vs May 12, 2020154SEC filing
May 26, 2021Amendment$55,216,078-$5,115,026vs May 12, 2020154SEC filing
May 19, 2021Amendment$55,216,078No comparisonNot reportedSEC filing
May 12, 2020Amendment$60,331,104$10,352,190vs May 6, 2019131SEC filing
May 6, 2019Amendment$49,978,914-$8,537,092vs May 7, 2018138SEC filing
May 7, 2018Amendment$58,516,006$6,863,989vs Apr 27, 2017147SEC filing
Apr 27, 2017Amendment$51,652,017$346,730vs Apr 18, 2016149SEC filing
Apr 18, 2016Amendment$51,305,287$48,244,980vs Jan 12, 2012157SEC filing
Jan 16, 2015Amendment$51,271,416$3,595,879vs Jan 16, 2014151SEC filing
Jan 16, 2014Amendment$47,675,537No comparison119SEC filing
Jan 15, 2013Amendment$3,375,912$315,605vs Jan 12, 201270SEC filing
Jan 12, 2012Amendment$3,060,307$370,050vs Jan 13, 201163SEC filing
Jan 13, 2011Amendment$2,690,257$40,041vs Jan 13, 201053SEC filing
Jan 13, 2010Amendment$2,650,216No comparison60SEC filing
Jan 16, 2009PaperNot reportedNo comparisonNot reportedSEC filing
Jan 16, 2007PaperNot reportedNo comparisonNot reportedSEC filing
Jan 17, 2006PaperNot reportedNo comparisonNot reportedSEC filing
Jan 14, 2005PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Other
Exemptions
06b
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-53477
Deferred compensation obligation

Source: Form D, filed May 16, 2024. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
NameReported role
Adam Antoniades Director
David Ballard Executive
Valerie Brown Director, Executive
Jeffrey Buchheister Executive
Gary Chaffin Executive
Kofi Coaxum Executive
Steve Dunlap Director, Executive
Ashley Duryea Director, Executive
Jon 200 Sepulveda Boulevard Frojen Director, Executive
Andy Gill Executive
Lisa Gok Executive
Thomas Gooley Director
Kristy Haley Executive
Thomas Halloran Executive
Cyndi Hamel Executive
Jack R. Handy, Jr. Director, Executive
Brett Harrison Director
Janani Iyengar Executive
Bryan Jacobsen Executive
Barbara Kesterson Executive
David Kim Executive
Douglas S. King Director, Executive
Winnie Lee Executive
Mark Marr Director, Executive
Patricia Mc Callop Executive
Maura R. Mizuguchi Executive
Joseph D. Neary Director, Executive
Greg Olson Executive
Summer Pretzer Director
Larry Roth Director
Mark Shelson Executive
Stanley R. Smiley Executive
Stan Smiley Executive
Tim Stinson Executive
Timothy P. Stone Executive
Tom Taylor Executive
Thomas B. Taylor Director, Executive
David Van Havermaat Executive

Issuer details

Industry: Investing (See others in industry)

Address:
2301 Rosecrans Avenue Suite 5100
El Segundo, CA, 90245