Newport Beach, CA Mac Arthur Court 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
4695 Mac Arthur Court, 10th Floor
Newport Beach CA 92660
Advisors at this office
5
Advisors at this office
Vanessa L
Series 63, Series 66
Newport Beach, CA
Cetera
Vanessa Ly is a financial advisor with Cetera who holds Series 63 and Series 66 credentials and has 14 years of industry experience. She has worked at firms including Morgan Stanley, Fidelity Investments, Ameriprise Financial Services, and Oppenheimer. Cetera Investment Advisers LLC is an SEC-registered firm that serves a wide range of clients, including individuals, employer-sponsored retirement plans, corporate and charitable clients, and institutional accounts. The firm offers various portfolio management and financial planning services through a multi-manager platform with access to affiliated and third-party managers.
James F
CFP®, Series 63, Series 66
Newport Beach, CA
Cetera
James Fonville Jr. is a CFP® professional with eight years of industry experience, currently advising at Cetera. His prior roles include positions at Schwab Wealth Advisory, Charles Schwab bank, and Charles Schwab & Co., Inc. based in Newport Beach, CA. Cetera Investment Advisers LLC is a nationwide SEC-registered adviser serving individuals, employer-sponsored retirement plans, corporate and charitable clients, and institutional accounts. The firm offers a multi-manager platform with a range of portfolio management options including discretionary and non-discretionary strategies, model portfolios, and access to third-party money managers.
Kinnie C
CFP®, Series 66
Newport Beach, CA
Cetera
Kinnie Chen is a CFP® with seven years of industry experience, currently advising at Cetera in Newport Beach, CA. Her background includes roles at Cetera Wealth Services, Securian Financial Services, and business valuation, with additional experience at Synear Foods USA LLC. She has held positions involving tax and financial group services since 2018. Cetera Investment Advisers LLC serves individual, corporate, charitable, and institutional clients through a nationwide network of independent advisors. The firm offers a range of portfolio management and financial planning services, operates a multi-manager platform with both affiliated and third-party managers, and manages over $256 billion in assets across more than 10,000 advisors.
Christian B
Series 66
Newport Beach, CA
Cetera
Christian Bood is a financial advisor at Cetera with a Series 66 designation and one year of industry experience. His prior work includes roles at Northwestern Mutual and academic positions at Chapman University and Azusa Pacific University. Cetera Investment Advisers LLC serves a wide range of clients, including individuals, retirement plans, and institutional accounts, offering portfolio management, financial planning, and access to third-party managers through a multi-manager platform. The firm supports various investment programs and strategies with more than 10,000 advisors and over $256 billion in assets under management.
Summer C
Newport Beach, CA
Cetera
Summer Cullen is a financial advisor with Cetera Investment Advisers LLC, holding zero years of industry experience. Her prior work includes roles at Ghost Management, Johnson Injury Law, San Diego State University, and Estancia High School. Cetera Investment Advisers LLC is an SEC-registered adviser serving individual investors, retirement plans, corporate and charitable clients, and institutional accounts through a nationwide network of independent advisors. The firm offers various portfolio management and financial planning services, utilizing multiple program structures and a multi-manager platform with access to affiliated and third-party managers.
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