Form D · Investing

Cetera Advisors LLC /CO

Greenwood Village, CO · CIK 0001164252

Offering snapshot reported May 24, 2024 · SEC filing

Reported sold
$35.3M
Indefinite offering
Investors reported
117
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$17.7M$35.3MJan 16, 2009Jan 13, 2010: $758,315.00Jan 13, 2011: $1,055,150.00Jan 12, 2012: $1,421,783.00Jan 14, 2013: $1,429,669.00Jan 16, 2014: $16,152,978.00Jan 16, 2015: $16,490,243.00Apr 18, 2016: $16,772,872.00Apr 27, 2017: $18,262,517.00May 7, 2018: $21,439,325.00May 6, 2019: $18,932,166.00May 12, 2020: $23,872,681.00May 26, 2021: $26,743,655.00Apr 27, 2023: $28,412,140.00May 24, 2024: $35,310,183.00May 24, 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$28,412,140 → $35,310,183
  • Reported investors93 → 117

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 24, 2024Amendment$35,310,183$6,898,043vs Apr 27, 2023117SEC filing
Apr 27, 2023Amendment$28,412,140-$3,760,794vs Apr 29, 202293SEC filing
Apr 27, 2023Amendment$28,412,140$1,668,485vs May 26, 202193SEC filing
Apr 29, 2022Amendment$32,172,934$5,429,279vs May 19, 202184SEC filing
May 26, 2021Amendment$26,743,655No comparisonNot reportedSEC filing
May 26, 2021Amendment$26,743,655$2,870,974vs May 12, 202072SEC filing
May 19, 2021Amendment$26,743,655No comparison72SEC filing
May 12, 2020Amendment$23,872,681$4,940,515vs May 6, 201976SEC filing
May 6, 2019Amendment$18,932,166-$2,507,159vs May 7, 201877SEC filing
May 7, 2018Amendment$21,439,325$3,176,808vs Apr 27, 201779SEC filing
Apr 27, 2017Amendment$18,262,517$1,489,645vs Apr 18, 201672SEC filing
Apr 18, 2016Amendment$16,772,872$15,351,089vs Jan 12, 201268SEC filing
Jan 16, 2015Amendment$16,490,243$337,265vs Jan 16, 201464SEC filing
Jan 16, 2014Amendment$16,152,978No comparison63SEC filing
Jan 14, 2013Amendment$1,429,669$7,886vs Jan 12, 201236SEC filing
Jan 12, 2012Amendment$1,421,783$366,633vs Jan 13, 201138SEC filing
Jan 13, 2011Amendment$1,055,150$296,835vs Jan 13, 201032SEC filing
Jan 13, 2010Amendment$758,315No comparison32SEC filing
Jan 16, 2009PaperNot reportedNo comparisonNot reportedSEC filing
Jan 15, 2008PaperNot 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
021-53475
Deferred compensation obligations

Source: Form D, filed May 24, 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
Summer Arnold Executive
David Ballard Executive
Bernie Breton Executive
Valerie Brown Director, Executive
Jeffrey Buchheister Executive
Gary Chaffin Executive
Elisa Del Valle Executive
Steve Dunlap Director, Executive
Ashley Duryea Director, Executive
Errin Ford Director, Executive
Erinn Ford Director, Executive
Jon Frojen Director, Executive
Andy Gill Executive
Lisa Gok Executive
Kristy Haley Executive
Thomas Halloran Director, Executive
Cyndi Hamel Executive
Brett Harrison Director, Executive
Janani Iyengar Executive
Barbara Kesterson Executive
David Kim Executive
Winnie Lee Executive
Melissa Lischin Executive
Mark Marr Director, Executive
Garrett Merrill Executive
Maura R. Mizuguchi Executive
Joseph D. Neary Director, Executive
Greg Olson Executive
Larry Roth Executive
Mark Shelson Executive
Stanley R. Smiley Executive
Stan Smiley Executive
Timothy Stinson Executive
Tim Stinson Executive
Thomas B. Taylor Director
Dan Umansky Executive
David Van Havermaat Executive
Kathleen Vannoy Pineda Executive
Kathleen D. Van Noy Pineda Executive
Kathleen D. Van Noy Pineda Executive

Issuer details

Industry: Investing (See others in industry)

Address:
5299 Dtc Boulevard Suite 800
Greenwood Village, CO, 80111