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First Allied Advisory Services, Inc.



ETF Holdings

Name Assets
Deutsche X-trackers MSCI All World ex US High Dividend Yield Hedged Equity ETF $14,304,000
iShares Convertible Bond ETF $11,727,000
Victory CEMP US EQ Income Enhanced Volatility Wtd Index ETF $5,822,000
Vanguard Russell 2000 Growth Index Fund $4,752,000
Deutsche X-trackers FTSE Developed ex US Enhanced Beta ETF $2,552,000
ProShares Russell 2000 Dividend Growers ETF $2,501,000
ProShares S&P MidCap 400 Dividend Aristocrats ETF $2,497,000
First Trust Strategic Income ETF $1,657,000
First Trust Global Tactical Commodity Strategy Fund $1,589,000
Deutsche X-trackers MSCI All China Equity ETF $1,493,000
Oppenheimer Ultra Dividend Revenue ETF $1,238,000
Vanguard Russell 3000 Index Fund $1,184,000
PIMCO Low Duration Active Exchange-Traded Fund $858,000
Vanguard S&P Small-Cap 600 Index Fund $843,000
PIMCO 1-3 Year US Treasury Index Exchange Traded Fund $802,000
iShares Short Maturity Municipal Bond ETF $784,000
WisdomTree CBOE S&P 500 PutWrite Strategy Fund $727,000
ProShares MSCI EAFE Dividend Growers ETF $712,000
First Trust Chindia ETF $647,000
iShares Morningstar Small-Cap Value ETF $603,000
iShares iBonds Dec 2022 Term Muni Bond ETF $602,000
SPDR SSGA Gender Diversity Index ETF $601,000
iShares iBonds Dec 2021 Term Muni Bond ETF $522,000
Direxion All Cap Insider Sentiment Shares $493,000
Victory CEMP US 500 Enhanced Volatility Wtd Index ETF $474,000
Cambria Global Momentum ETF $371,000
VanEck Vectors Short High-Yield Municipal Index ETF $311,000
PIMCO 15+ Year US TIPS Index Exchange-Traded Fund $306,000
First Trust Mid Cap Growth AlphaDEX Fund $300,000
Victory CEMP US Discovery Enhanced Volatility Wtd Index ETF $295,000
First Trust NASDAQ Clean Edge Smart Grid Infrastructure Index Fund $291,000
iShares Edge MSCI Multifactor USA ETF $265,000
SPDR S&P 600 Small Cap ETF $256,000
VanEck Vectors BDC Income ETF $241,000
FlexShares Quality Dividend Defensive Index Fund $233,000
First Trust NASDAQ Clean Edge Green Energy Index Fund $227,000
ARK Web x.0 ETF $201,000



    Last updated on Aug. 19, 2017
      • $4.5B
        Total Assets Under Management
      • N/A
        Total Assets Under Advisement
      • 23K
      • $194.3K
        Estimated Average Account Balance


    Firm Services

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

    Firm Client types


    Current Advisors

    # of advisors


    name start date
    Neal A. Deutsch CFP®
    July 2012
    Brice Thompson, AWMA, AAMS
    May 2018
    William Shane Hunt
    June 2012
    Victoria Lee Artel
    January 2015
    Jaimie M Blackman
    July 2012

      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 $20,515,461,972
      Cetera Advisors Insurance Services LLC -- --
      Cetera Advisors LLC Dual Registrant $13,550,472,236
      Cetera Financial Specialists LLC Broker-Dealer --
      Cetera Insurance Agency LLC -- --
      Cetera Investment Advisers LLC IAR $7,816,218,055
      Cetera Investment Services LLC Broker-Dealer $0
      Cetera Retirement Plan Specialists -- --
      Fasi Insurance Services -- --
      Fasi of Tx, Inc. -- --
      First Allied Securities, Inc. Dual Registrant $0
      Forwardframe LLC IAR $0
      Girard Securities, Inc. Dual Registrant $596,796,627
      Sbs Insurance Agency of Fl, Inc. -- --
      Sbs of California Insurance Agency, Inc. -- --
      Sbsi Insurance Agency of Tx, Inc. -- --
      Summit Brokerage Services, Inc. Broker-Dealer --
      Summit Financial Group Inc IAR $3,799,519,864
      Tower Square Investment Management LLC IAR $0



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

        Executives and Control Persons

        Name Title Tenure Date % Ownership
        Adam Nicholas Antoniades Director January, 2007 less than 5%
        Kevin Michael Keefe Chief Executive Officer January, 2015 less than 5%
        Luanne Marie Graham Chief Compliance Officer July, 2010 less than 5%
        Brett Lamar Harrison Director July, 2016 less than 5%
        James David Ballard Vice President July, 2016 less than 5%
        Mark Paul Shelson Treasurer July, 2016 less than 5%
        Stanley Robert Smiley Vice President July, 2016 less than 5%
        Gregory Edward Olson Assistant Secretary July, 2016 less than 5%
          Source: SEC


          Types of Compensation Arrangements

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