Fond Du Lac, WI North Pioneer Rd Office
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Cetera
Institution
Firm-wide stats for Cetera
About
Cetera Investment Advisers LLC is an SEC‑registered adviser that distributes its services through a large nationwide network of independent advisors and serves individuals (both non‑HNW and high‑net‑worth), employer‑sponsored retirement plans, corporate and charitable clients, and institutional accounts. Its offerings include discretionary and non‑discretionary portfolio management, financial planning and consulting, ERISA 3(21) and 3(38) retirement services, wrap and non‑wrap program platforms, and access to third‑party money managers.
The firm operates as a multi‑manager platform in which advisors may implement model portfolios provided by an affiliated manager (CIM), select unaffiliated third‑party managers, or construct bespoke strategies; program options range from automated InvestPath allocations to direct indexing, private client overlays, and unified managed accounts. Accounts are run under a mix of discretionary and non‑discretionary authorities and across multiple program structures and custodial relationships, with ongoing supervision and annual client reviews described in the ADV.
Notable features include scale — the ADV reports over $256 billion in assets under management, more than 10,000 advisors and roughly 800,000 clients — and a suite of affiliations (an affiliated trust company, affiliated model provider, strategic fund and ETP partner arrangements, and cash‑sweep programs) that shape product availability and revenue flows. The ADV also discloses recent regulatory settlements with the SEC (described in 2021, 2022 and 2024) and identifies an affiliation with a municipal advisor, both of which prospective clients should review alongside the brochure’s descriptions of revenue‑sharing, sweep arrangements and other program‑level conflicts of interest.
Based on Cetera
Expertise
Based on Cetera
Location
37 North Pioneer Rd
Fond Du Lac WI 54935
Advisors at this office
3
Advisors at this office
Robert H
Series 66
Fond Du Lac, WI
Cetera
Robert Hess is a financial professional with Cetera who holds a Series 66 license and has one year of industry experience. He is also involved in tax and accounting services through roles at Vesta CPAs S.C. and HUBERTY & ASSOCIATES S.C., and works as a bartender at Schwarz's Supper Club. Cetera Investment Advisers LLC is an SEC-registered firm serving individuals, retirement plans, corporate and charitable clients, and institutional accounts through a nationwide network of independent advisors. The firm offers a range of portfolio management and financial planning services with access to multiple program platforms and third-party managers.
Eric G
CFP®, Series 66
Fond Du Lac, WI
Cetera
Eric Gurholt is a CFP® professional with 17 years of experience in the financial services industry. He is currently affiliated with Cetera and has held various roles in related firms and businesses since 2008. Outside of his advisory work, he serves as treasurer for the Cops for Kids Foundation, a nonprofit providing scholarships and supplies to children in need, and holds board positions at SouthHills Golf & Country Club and the Moraine Park Technical College Foundation. Cetera Investment Advisers LLC is a nationwide SEC-registered advisory firm serving a diverse client base, including individuals, retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a multi-manager platform with a range of portfolio management and financial planning services, administering over $256 billion in assets through more than 10,000 advisors.
Ethan D
Series 66
Fond Du Lac, WI
Cetera
Ethan Diederich is a financial advisor at Cetera with a Series 66 designation and one year of industry experience. His background includes roles in education at the University of Wisconsin Oshkosh and Moraine Park Technical College, as well as experience in accounting and health rehabilitation through his work with Vesta and Harbor Haven Health and Rehabilitation. Cetera Investment Advisers LLC is an SEC-registered firm that serves a wide range of clients including individuals, retirement plans, corporate and charitable clients, and institutions. The firm offers various portfolio management and financial planning services through a multi-manager platform, supporting both discretionary and non-discretionary investment approaches.
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