Adam Joseph Kaufer

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2013 → Present
  Cetera Advisors Llc
  Denver, CO
• 01/2020 → 10/2020
  Prism Financial Group Llc
  Philadelphia, PA
• 10/2020 → Present
  Prism Financial Group Llc
  Philedelphia, PA
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2011-12-19 → 2013-05-20
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Philadelphia, PA

Other Businesses

1. NAME OF OTHER BUSINESS: KAUFER FINANCIAL, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL PLANNING, WEALTH MANAGEMENT START DATE: 04/2013 APX NUMBER OF HOURS PER WEEK: 70 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: PRINCIPAL, CEO 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 03/2018; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 3.NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: 199 STARK RD NICHOLSON PA 18446 NATURE OF BUSINESS: TRUSTS START DATE: 10/2014 POSITION/TITLE/RELATIONSHIP: TRUSTEE APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: PROPERTY MANAGER, DECISION MAKER FOR PROPERTY, LAND, MINERALS/GAS RIGHTS 4.NAME OF OTHER BUSINESS: PRISM FINANCIAL GROUP LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 1/2020; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 5. NAME OF OTHER BUSINESS: FORT MIFFLIN ON THE DELAWARE; INVESTMENT RELATED: NO; ADDRESS: 6400 HOG ISLAND ROAD PHILADELPHIA PA 19153; NATURE OF BUSINESS: NATIONAL HISTORIC LANDMARK; START DATE: 7/2020; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ATTEND QUARTERLY BOARD MEETING, ASSIST WITH STRATEGIC PLANNING AND PROVIDE OVERSIGHT; 6. NAME OF OTHER BUSINESS: PRISM FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 10/2020 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: ASSET MANAGEMENT; 6. NAME OF OTHER BUSINESS: NAVY LEAGUE OF THE UNITED STATES - PHILADELPHIA COUNCIL, INVESTMENT RELATED: NO, ADDRESS: 524 SPRUCE STREET, APT F, PHILADELPHIA, PA, 19106, NATURE OF BUSINESS: NON-PROFIT, START DATE: 02/2022, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: SUPPORT US SEA SERVICES AND THEIR FAMILIES;

Exams

• S66 Uniform Combined State Law Examination
  2011-12-15

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Adam J Kaufer