Back to top



ETF Holdings

Name Assets
iShares Edge MSCI Multifactor USA ETF $2,949,000
SPDR S&P 600 Small Cap ETF $1,685,000
Vanguard Russell 1000 Index Fund $1,653,000
Vanguard Russell 1000 Value Index Fund $1,380,000
Franklin Liberty Short Duration US Government ETF $1,152,000
Pacer Trendpilot 100 ETF $881,000
First Trust Total US Market AlphaDEX ETF $818,000
Pacer Trendpilot European Index ETF $643,000
First Trust NASDAQ-100 Ex-Technology Sector Index Fund $567,000
iShares Global REIT ETF $531,000
iShares Edge MSCI Multifactor USA Small-Cap ETF $497,000
iShares Morningstar Small-Cap Value ETF $441,000
Oppenheimer Ultra Dividend Revenue ETF $327,000
Direxion Daily Semiconductor Bull 3X Shares $306,000
VanEck Vectors Oil Refiners ETF $280,000
MomentumShares International Quantitative Momentum ETF $278,000
First Trust Natural Gas ETF $275,000
First Trust Small Cap Growth AlphaDEX Fund $227,000
ProShares S&P MidCap 400 Dividend Aristocrats ETF $214,000
VanEck Vectors BDC Income ETF $200,000
ProShares Russell 2000 Dividend Growers ETF $196,000
Oppenheimer Small Cap Revenue ETF $187,000
First Trust Mid Cap Growth AlphaDEX Fund $147,000
First Trust Strategic Income ETF $144,000
iShares Morningstar Large-Cap Value ETF $133,000
AdvisorShares Dorsey Wright ADR ETF $119,000
iShares Convertible Bond ETF $88,000
iShares iBonds Dec 2022 Term Muni Bond ETF $84,000
iShares iBonds Dec 2021 Term Muni Bond ETF $75,000
iShares iBonds Sep 2019 Term Muni Bond ETF $75,000
iShares Edge MSCI Multifactor Emerging Markets ETF $75,000
VanEck Vectors India Small-Cap Index ETF $63,000
VanEck Vectors CEF Municipal Income ETF $63,000
Schwab Fundamental Emerging Markets Large Company Index ETF $63,000
First Trust Small Cap Value AlphaDEX Fund $61,000
SPDR FactSet Innovative Technology ETF $47,000
First Trust Brazil AlphaDEX Fund $47,000
Fidelity MSCI Information Technology Index ETF $47,000
iShares Edge MSCI Min Vol Europe ETF $42,000
VanEck Vectors Emerging Markets Aggregate Bond ETF $33,000
Direxion Daily Retail Bull 3X Shares $30,000
First Trust Developed Markets ex-US Small Cap AlphaDEX Fund $26,000
iShares Interest Rate Hedged Corporate Bond ETF $24,000
EMQQ The Emerging Markets Internet & Ecommerce ETF $22,000
iShares MSCI ACWI Low Carbon Target ETF $22,000
SPDR S&P 500 Buyback ETF $19,000
Global X China Financials ETF $19,000
VanEck Vectors AMT-Free Short Municipal Index ETF $15,000
VanEck Vectors Retail ETF $14,000
iShares Asia/Pacific Dividend ETF $10,000
Vanguard Russell 3000 Index Fund $9,000
iShares MSCI Europe Small-Cap ETF $9,000
IQ US Real Estate Small Cap ETF $7,000
Vanguard Russell 2000 Growth Index Fund $7,000
iShares Government/Credit Bond ETF $6,000
First Trust Switzerland AlphaDEX Fund $6,000
Fidelity MSCI Consumer Discretionary Index ETF $6,000
Global X Gold Explorers ETF $5,000
iShares Edge MSCI USA Size Factor ETF $5,000
SPDR SSGA Gender Diversity Index ETF $4,000
PureFunds ISE Junior Silver (Small Cap Miners/Explorers) ETF $4,000
iShares International Preferred Stock ETF $4,000
Direxion Daily Technology Bull 3X Shares $3,000
VanEck Vectors Russia Small-Cap ETF $3,000
PureFunds Drone Economy Strategy Tech ETF $3,000
Oppenheimer Financials Sector Revenue ETF $3,000
Fidelity MSCI Materials Index ETF $3,000
Fidelity MSCI Industrials Index ETF $2,000
SPDR Russell 1000 Yield Focus ETF $2,000
iShares Emerging Markets Infrastructure ETF $1,000
PureFunds Video Game Tech ETF $1,000
ProShares Global Listed Private Equity ETF $1,000



    Last updated on Dec. 8, 2019
      • $12.2B
        Total Assets Under Management
      • N/A
        Total Assets Under Advisement
      • 59K
      • $209.3K
        Estimated Average Account Balance


    Firm Services

    There is no Services data available to display at this time.

    Firm Client types

    There is no client type data to display at this time.


    Current Advisors

    # of advisors


    name start date
    Robert John Cryts
    October 2016
    Daniel "Danny" Chen
    January 2004
    David Treece, AIF®, MBA
    September 2011
    Ralph Winn
    February 2006
    Kenneth V. Nelson
    October 2016

      Affiliated Investment Advisors and Broker Dealers

      Name Type Total Assets
      Associates In Excellence, Inc. -- --
      Cetera Advisor Networks Insurance Services LLC -- --
      Cetera Advisor Networks LLC Dual Registrant $18,099,125,377
      Cetera Advisors Insurance Services LLC -- --
      Cetera Advisory Services LLC -- --
      Cetera Financial Specialists LLC Broker-Dealer --
      Cetera Investment Advisers LLC IAR $10,324,028,419
      Cetera Investment Management LLC -- --
      Cetera Investment Services LLC Broker-Dealer $1,193,288,801
      Fasi Insurance Services, Inc. -- --
      Fasi of Tx, Inc. -- --
      First Allied Advisory Services, Inc. IAR $5,977,442,718
      First Allied Retirement Services, Inc. -- --
      Sbs Insurance Services of Fl, Inc -- --
      Sbs of California Insurance Agency, Inc -- --
      Summit Brokerage Services, Inc. Broker-Dealer --
      Summit Financial Group Inc IAR $2,889,596,331



        There is no ownership data available to display at this time.

        Executives and Control Persons

        Name Title Tenure Date % Ownership
        Joseph Daniel Neary Manager May, 2019 less than 5%
        Loren W Morris Chief Operating Officer October, 2018 less than 5%
        Timothy Joseph Bowman Principal Financial Officer October, 2018 less than 5%
        Barbara Jo Kesterson Principal Operations Officer October, 2018 less than 5%
        Brett Lamar Harrison Manager And Chief Executive Officer October, 2009 less than 5%
        Mary Frances Schott President February, 2018 less than 5%
        Catherine Mccormack Bonneau Chief Operating Officer February, 2018 less than 5%
        Kathleen Denise Vannoy-Pineda Senior Vice President, Bd Chief Compliance Officer And Secretary November, 2017 less than 5%
        Gregory Alan Olson Assistant Secretary July, 2016 less than 5%
        Mark Paul Shelson Treasurer July, 2016 less than 5%
        Kristy Marie Haley Advisory Chief Compliance Officer November, 2015 less than 5%
        Ramon Ramos Money Laundering Reporting Officer February, 2013 less than 5%
        Stanley Robert Smiley Vice President February, 2006 less than 5%
          Source: SEC


          Types of Compensation Arrangements

          • Percentage Of Assets
          • Hourly Charges
          • Fixed Fees
          • Commissions