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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 $15,771,000
iShares Convertible Bond ETF $12,257,000
Victory CEMP US 500 Enhanced Volatility Wtd Index ETF $7,366,000
Vanguard Russell 2000 Growth Index Fund $6,567,000
ProShares Ultra Health Care $5,325,000
ProShares S&P MidCap 400 Dividend Aristocrats ETF $2,952,000
ProShares Russell 2000 Dividend Growers ETF $2,934,000
Deutsche X-trackers FTSE Developed ex US Enhanced Beta ETF $2,834,000
Deutsche X-trackers MSCI All China Equity ETF $1,889,000
Oppenheimer Ultra Dividend Revenue ETF $1,596,000
Vanguard Russell 3000 Index Fund $1,199,000
ProShares MSCI EAFE Dividend Growers ETF $939,000
PIMCO 1-3 Year US Treasury Index Exchange Traded Fund $812,000
First Trust Chindia ETF $789,000
SPDR SSGA Gender Diversity Index ETF $777,000
WisdomTree CBOE S&P 500 PutWrite Strategy Fund $742,000
FlexShares Quality Dividend Defensive Index Fund $741,000
iShares Morningstar Small-Cap Value ETF $692,000
iShares iBonds Dec 2022 Term Muni Bond ETF $624,000
Deutsche X-trackers Municipal Infrastructure Revenue Bond ETF $594,000
iShares iBonds Dec 2021 Term Muni Bond ETF $539,000
First Trust Small Cap Growth AlphaDEX Fund $452,000
Cambria Global Momentum ETF $384,000
PIMCO 15+ Year US TIPS Index Exchange-Traded Fund $352,000
First Trust Mid Cap Growth AlphaDEX Fund $345,000
VanEck Vectors Short High-Yield Municipal Index ETF $342,000
First Trust NASDAQ Clean Edge Smart Grid Infrastructure Index Fund $327,000
iShares Edge MSCI Multifactor USA ETF $318,000
iShares Edge MSCI Intl Quality Factor ETF $315,000
SPDR S&P 600 Small Cap ETF $284,000
VanEck Vectors BDC Income ETF $274,000
ProShares Global Listed Private Equity ETF $262,000



    Last updated on Feb. 2, 2020
      • $6.0B
        Total Assets Under Management
      • N/A
        Total Assets Under Advisement
      • 30K
      • $198.4K
        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
    Neal A. Deutsch CFP®
    July 2012
    Brice Thompson, AWMA, AAMS
    May 2018
    Tyler Herrick Cuba
    June 2010
    Whitney Mcguire Mcnicol
    January 2018
    Sean Robin Barbour
    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 $18,099,125,377
      Cetera Advisors Insurance Services LLC -- --
      Cetera Advisors LLC Dual Registrant $12,246,297,195
      Cetera Advisory Services LLC -- --
      Cetera Financial Specialists LLC Broker-Dealer --
      Cetera Insurance Agency LLC -- --
      Cetera Investment Advisers LLC IAR $10,324,028,419
      Cetera Investment Management LLC -- --
      Cetera Investment Services LLC Broker-Dealer $1,193,288,801
      Cetera Retirement Plan Specialists -- --
      Fasi Insurance Services -- --
      Fasi of Tx, Inc. -- --
      First Allied Securities, Inc. Broker-Dealer $0
      Sbs Insurance Agency of Fl, Inc. -- --
      Sbs of California Insurance Agency, Inc. -- --
      Sbsi Insurance Agency of Tx, Inc. -- --
      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
        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%
        Brett Lamar Harrison Ceo March, 2017 less than 5%
        Mary Frances Schott President March, 2018 less than 5%
        Matthew Gregory Bregozzo Chief Compliance Officer October, 2018 less than 5%
        Joseph Daniel Neary Manager/Director May, 2019 less than 5%
          Source: SEC


          Types of Compensation Arrangements

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