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Cambridge Investment Research Advisors

Updated today

Client AUM

$134,619,620,347

Clients

355,872

Advisors

3,908

across 2,203 offices

About

Cambridge Investment Research Advisors is a large SEC-registered adviser that serves a broad mix of clients—individuals (including both non-HNW and high-net-worth clients), pension and profit‑sharing plans, charitable organizations, trusts and estates, and other retirement-plan sponsors—by offering financial planning, investment management, retirement plan advisory, and financial-wellness services. Services are delivered through a network of independent Financial Professionals and include direct portfolio management, wrap-fee programs (WealthPort), model-based solutions, and referrals to approved third‑party managers.

Investment implementation is offered across multiple custody and platform arrangements (CMAP, FlexMAP, WealthPort, UMA/CAAP) and can be either discretionary or non‑discretionary, with Financial Professionals tailoring strategies to client objectives. The firm maintains both proprietary model strategies under the Founders Gate Capital brand and access to unaffiliated strategists, and the brochure notes that some advisers use tactical approaches and, in a minority of cases, market‑timing services rather than only buy‑and‑hold allocations.

Noteworthy, and less common among peer institutions, is Cambridge’s explicit disclosure of affiliated‑strategy economics and related conflict‑of‑interest controls for Founders Gate Capital, along with documented advisor business relationships that include Financial Professionals who are attorneys or CPAs and may provide or refer legal and accounting services. The brochure also details institutional features tied to the firm’s scale—advisor transition loans/grants and equity participation arrangements, FDIC sweep options, and formal compliance and supervisory processes—which can materially shape how recommendations are selected and implemented.

Client services

Financial planning Portfolio management Pension consulting Selection of other advisers Educational seminars or workshops Market timing

Expertise

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities

Occupation focus

Self-Employed

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Fee options

Fixed

For financial planning and consulting, flat fees generally do not exceed $25,000 but may be higher based on complexity; For WealthPort setup fee generally less than 1% of assets or $1,000

Percentage

$0 - $100,000: 1.50% $100,000 - $250,000: 1.25% $250,000+: 1.00%

Commissions

Financial Professionals acting as Registered Representatives receive commissions on securities and insurance sales

Project-based

Generally up to $500 per hour for financial planning and consulting services; up to $500 per hour for retirement plan advisory services

Subscriptions

Financial Wellness services paid by employer; flat or hourly fees per agreement

Other

Account minimum: $5,000 Minimum fee: Minimum WealthPort program fee of $250 annually for CAAP® and UMA accounts

Main office

See office

1776 Pleasant Plain Rd

Fairfield IA 52556

Advisors at this office

61

Most active in

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Also doing business as

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Business activities & affiliations

Advisors at this firm

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Blake R

CFP®, Series 65, Series 66

Bryan, OH

Cambridge Investment Research Advisors

Blake Rockey is a CFP®-certified financial advisor with Cambridge Investment Research Advisors, bringing four years of industry experience. He previously worked at Premiere Group and Bryan City Schools/FCCC. Outside of his advisory role, he owns and operates an ice cream truck business called Pink Penguin Ice Cream. Cambridge Investment Research Advisors is a large SEC-registered firm serving a diverse client base, including individuals, pension plans, charitable organizations, and trusts. The firm offers financial planning, investment management, retirement plan advisory, and financial-wellness services through a network of independent professionals using a range of portfolio management and model-based solutions.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed

Jake K

CFP®, Series 65, Series 63, Series 7

York, PA

Harvest Rock Advisors, LLC

Jake is a financial planner and investment advisor at Harvest Rock Advisors, an independent financial services firm serving the greater Susquehanna Valley region. He works with clients 50+ to help them plan confidently and keep more of what they’ve built through smart tax, investment, and retirement planning. He is a CERTIFIED FINANCIAL PLANNER® practitioner and holds the Series 65, Series 7, and Series 63 securities licenses. Jake lives in Lancaster County, PA with his wife, kids, one dog, and one cat. When he's not at youth sporting events, he enjoys running and cycling. Advisory services offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Adviser. Harvest Rock Advisors, LLC and Cambridge are not affiliated. Securities offered through Registered Representatives of Cambridge Investment Research, Inc., a broker/dealer, member FINRA/SIPC.

General tax planning General retirement planning Wealth management Business exit / sale strategy General estate planning guidance Retired Founder/Business Owner Executive Self-Employed Approaching retirement Retired Baby Boomers (Born 1946-1964) Gen X (Born 1965-1980) Established Professionals
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Elanna G

CFP®, Series 66

Cleveland, OH

Cambridge Investment Research Advisors

Elanna Gould is a CFP® professional with six years of experience, currently advising at Cambridge Investment Research Advisors in Cleveland, OH. Her background includes roles at PepsiCo and The Cleveland Clinic Lerner Research Center, as well as academic experience at The Ohio State University. She is also an independent insurance agent for various companies. Cambridge Investment Research Advisors serves a broad client base, including individuals, retirement plans, and charitable organizations, offering financial planning, investment management, and retirement advisory services through a network of independent professionals. The firm provides a range of portfolio management options, proprietary and third-party strategies, and various custody platforms tailored to client objectives.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Jacob W

Series 66

Dublin, OH

Cambridge Investment Research Advisors

Jacob Williams is a financial advisor at Cambridge Investment Research Advisors with six years of industry experience. He holds the Series 66 designation and has worked at multiple firms, including United Planners' Financial Services of America and Gilmore Enterprises, Inc DBA GA Financial Resources. Outside of his advisory role, he has maintained a career as a self-employed musician since 2008. Cambridge Investment Research Advisors serves a diverse clientele that includes individuals, retirement plans, charitable organizations, and trusts. The firm offers financial planning, investment management, and retirement plan advisory services through a network of independent professionals, employing a range of portfolio management strategies and platforms tailored to client objectives.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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David G

CFP®, Series 63

New Rochelle, NY

Cambridge Investment Research Advisors

David Gabay is a CFP® professional with 43 years of industry experience. He is currently affiliated with Cambridge Investment Research Advisors and has held roles at several firms including Commonwealth Financial Network, Cetera Advisors LLC, and Investors Capital Corporation. Gabay also operates a business under the name Pinnacle Planning Group. Cambridge Investment Research Advisors is a large SEC-registered firm serving a diverse client base including individuals, retirement plans, charitable organizations, and trusts. The firm offers financial planning, investment management, and retirement plan advisory services through independent Financial Professionals, utilizing a variety of portfolio management approaches and platforms.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Nathan P

Series 63, Series 65

Dallas, TX

Cambridge Investment Research Advisors

Nathan Pinzon is a financial advisor at Cambridge Investment Research Advisors with Series 63 and Series 65 credentials and two years of industry experience. His prior roles include positions at Thrivent Financial, New York Life, and Neiman Marcus. Outside of his advisory work, he is the owner of Lakewood Private Capital LLC and also works as an insurance agent. Cambridge Investment Research Advisors serves a diverse client base including individuals, pension and profit-sharing plans, charitable organizations, and trusts. The firm offers financial planning, investment management, and retirement plan advisory through a network of independent financial professionals, utilizing a variety of portfolio management strategies and platform arrangements tailored to client objectives.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Thomas S

Series 66

Chesterfield, MO

Cambridge Investment Research Advisors

Thomas Sullivan IV is a Series 66-credentialed financial advisor with six years of industry experience. He currently works at Cambridge Investment Research Advisors and has prior experience at The O.N. Equity Sales Company, Ohio National Financial Services, and Northwestern Mutual. Outside of advisory work, he is involved as an independent insurance agent for various agencies. Cambridge Investment Research Advisors is a large SEC-registered firm serving a diverse client base, including individuals, pension plans, charitable organizations, trusts, and retirement-plan sponsors. The firm offers financial planning, investment management, and retirement advisory services through a network of independent professionals who utilize a range of portfolio management strategies and platform arrangements tailored to client objectives.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Garrett F

Series 65

Buford, GA

Cambridge Investment Research Advisors

Garrett Futch is a financial advisor at Cambridge Investment Research Advisors with one year of industry experience. He holds a Series 65 designation and previously worked at SFI Advisors, LLC, Dooley's, and several other companies. Cambridge Investment Research Advisors is a large SEC-registered firm serving a wide range of clients including individuals, retirement plans, charitable organizations, and trusts. The firm offers financial planning, investment management, and retirement advisory services through a network of independent Financial Professionals, utilizing various platform arrangements and both proprietary and third-party investment strategies.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Brad C

Series 63, Series 66

Quincy, MA

Cambridge Investment Research Advisors

Brad Croall is a financial advisor with Cambridge Investment Research Advisors, holding Series 63 and Series 66 credentials and 16 years of industry experience. His prior work includes roles at Manulife Asset Management, John Hancock, and John Hancock Distributors. He also serves as Executive Director of the Quincy Retirement Board. Cambridge Investment Research Advisors is a large SEC-registered firm serving a diverse client base including individuals, retirement plans, and charitable organizations. The firm offers financial planning, investment management, and retirement advisory services through independent Financial Professionals using a range of portfolio management and model-based solutions.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Michael A

Series 63, Series 65

Mount Airy, MD

Cambridge Investment Research Advisors

Michael Ament is a financial advisor with Cambridge Investment Research Advisors in Mount Airy, MD, holding Series 63 and Series 65 credentials and bringing 17 years of industry experience. His prior work includes over a decade at H. Beck, Inc., followed by several roles within the Cambridge Investment Research network and Cetera-related firms. He is also employed by TAG Advisors in a trading capacity. Cambridge Investment Research Advisors serves a diverse client base, including individual investors, retirement plans, and charitable organizations, offering financial planning, investment management, and retirement advisory services through a network of independent financial professionals. The firm provides multiple portfolio management options, including proprietary and third-party strategies, with both discretionary and non-discretionary implementation tailored to client objectives.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Eric S

CFP®, Series 63, Series 65

Harvard, MA

Cambridge Investment Research Advisors

Eric Sechman is a CFP® professional with 19 years of industry experience. He is currently with Cambridge Investment Research Advisors and has previously worked at Parkland Securities, LLC. Sechman serves on the Ayer+Devens Resolution Committee and the Town of Ayer Finance Committee. Cambridge Investment Research Advisors is a large SEC-registered firm serving a broad range of clients, including individuals, pension plans, charitable organizations, and trusts. The firm offers financial planning, investment management, retirement plan advisory, and financial-wellness services through a network of independent Financial Professionals using various portfolio management and platform arrangements.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Ross P

Series 63, Series 65

Chesterfield, MO

Cambridge Investment Research Advisors

Ross Pfeifer is a financial advisor with Cambridge Investment Research Advisors, holding Series 63 and Series 65 credentials and 16 years of industry experience. He previously worked at The O.N. Equity Sales Company and Ohio National Financial Services for 13 years. Outside of his advisory role, he operates the Lee Camene Insurance Agency, an independent insurance business. Cambridge Investment Research Advisors serves a diverse client base, including individuals, retirement plans, charitable organizations, and trusts, providing financial planning, investment management, and retirement advisory services. The firm offers a variety of investment implementation options through multiple custody platforms and proprietary and third-party strategies, accommodating both discretionary and non-discretionary approaches.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Mark C

Series 63, Series 65

College Station, TX

Cambridge Investment Research Advisors

Mark Cangelose is a financial advisor at Cambridge Investment Research Advisors with 34 years of industry experience. He holds the Series 63 and Series 65 designations and has been with Cambridge Investment Research Advisors since 2018. In addition to his advisory role, he operates Cangelose Financial as an independent insurance agent and financial professional. Cambridge Investment Research Advisors serves a diverse client base including individuals, retirement plans, charitable organizations, and trusts by providing financial planning, investment management, and retirement plan advisory services through a network of independent financial professionals. The firm offers a range of investment solutions, including proprietary and third-party model strategies, with implementation available via multiple platforms and both discretionary and non-discretionary arrangements.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Lauren J

Series 65, Series 63

Niceville, FL

Cambridge Investment Research Advisors

Lauren Jarrell is a financial advisor at Cambridge Investment Research Advisors with four years of industry experience. She holds Series 65 and Series 63 credentials and previously worked at Institutional Securities Corp for five years. Outside of her advisory role, she has experience managing her own LLC and previously operated a realty business. Cambridge Investment Research Advisors is a large SEC-registered advisory firm that serves a diverse client base, including individuals, retirement plans, and charitable organizations. The firm provides financial planning, investment management, and retirement plan advisory services through a network of independent professionals utilizing various portfolio management strategies and platform arrangements.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
user avatar

Dan T

ChFC®, Series 63

Wellington, OH

Cambridge Investment Research Advisors

Dan Trinter is a financial advisor with Cambridge Investment Research Advisors, holding the ChFC® designation and Series 63 license. He has 40 years of industry experience and has worked at Cambridge and Nationwide-affiliated firms since 2015. He also owns Trinter Consulting and is involved in insurance, benefits, and human resources services. Cambridge Investment Research Advisors is a large SEC-registered firm serving a diverse client base, including individuals, retirement plans, charitable organizations, and trusts. The firm offers financial planning, investment management, and retirement plan advisory services through a network of independent financial professionals, utilizing various portfolio management strategies and platform arrangements.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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