Retirement Plan Onboarding Associate

Sierra Ridge Advisor Group with approximately $2.1 billion in AUA selects Cetera to help fuel its national expansion. Press room Sierra Ridge Advisor Group with approximately $2.1 billion in AUA selects Cetera to help fuel its national expansion. After only 13 months with LPL, the OSJ's co-founders decided Cetera was best suited to help solidify their next phase of growth, including plans to launch their own RIA on Cetera's Blueprint platform SAN DIEGO - Aug. 31, 2026 - Sierra Ridge Advisor Group (Sierra Ridge), a California-based investment practice overseeing approximately $2.1 billion in AUA[1], has selected Cetera to support its next phase of growth. Led by co-founders James Slaughter and Giancarlo Foti, Sierra Ridge joins Cetera from LPL, bringing approximately 40 affiliated advisors to the Cetera Networks community within Cetera's Large Enterprise channel. Sierra Ridge plans to expand nationally, adding to the six offices it currently has in California, Missouri, Oregon, and Wisconsin. The firm was built to offer independent-minded advisors a partner that can absorb the operational weight of running a practice - including compliance, staffing, technology and marketing - so advisors can focus on clients and growth. The firm's support model includes a dedicated transition team, an in-house investment program built and run by its own investment committee, and a client-service staff that handles everything from account paperwork to personalized client gifting on an advisor's behalf. Slaughter said he's excited to work with Cetera to support independent advisors, especially those wanting to join a community with the responsive leadership, support, coaching and mentoring they need to grow their practice. As part of the new relationship, Sierra Ridge and its advisors can leverage Cetera's growth resources, including: * Growth360, Cetera's business-planning approach, with firm- and advisor-level diagnostics. * GrowthLine, Cetera's proprietary advisor growth engine. * Cetera's Regional Growth Team approach, which offers advisors one dedicated team that knows the advisor's practice intimately, while serving as their conduit into Cetera's full centralized resources. "I know there are so many outstanding advisors who want to grow their practices while being client-focused but they're not getting what they need from their broker-dealer or OSJ, and honestly, they feel abandoned on an island," Slaughter said. "There's so much to be excited about with Cetera, and at the top of that list is coupling Sierra Ridge's marketing capabilities with the amazing growth resources at Cetera. Together, Sierra Ridge and Cetera can be the perfect place for independent advisors who want to be part of a team that cares about their growth as much as they do." As co-founders, Slaughter and Foti decided to leave LPL after only 13 months because they realized they needed a partner whose platform, resources, and leadership alignment could support Sierra Ridge's next phase of national growth. "We made a change because we believe that Cetera is the partner that will help us to continue to grow and provide open architecture for our advisors without limiting us, while positioning us for continued success," Foti said. "As we searched for a new broker-dealer, GrowthLine really stood out to us because that overall growth platform complements marketing services we offer our advisors. What also struck us during due diligence was the involvement of Cetera's executive team - they made clear they intend to be a genuine partner to us as a large enterprise focused on building a national footprint. That kind of access and a platform that doesn't limit how we serve advisors is exactly what we were looking for." Sierra Ridge's growth plans include expanding with new offices in the Midwest and on the East Coast, onboarding additional advisor teams, and standing up an independent registered investment adviser (RIAs) on Cetera's Blueprint platform, Cetera's integrated technology and services platform, purpose-built for independent RIAs. Blueprint delivers RIA-level autonomy, multi-custodial flexibility, and modular middle-office infrastructure, enabling advisory firms to scale efficiently without having to build that infrastructure on their own. Blueprint is not a rigid, one-size-fits-all system - it's intentionally shaped around the firms operating on it, with access to multiple custody and clearing options. Slaughter said Sierra Ridge plans to maintain a hybrid model to ensure maximum flexibility in serving advisors in both brokerage and advisory. "We're excited to join Cetera because while other broker-dealers are leaning away from supporting OSJs, Cetera is clearly leaning in with more investments to support the OSJ business model, so we know we're important to Cetera and its executive team," Slaughter said. "Partnering with Cetera gives us the resources and the runway to bring the Sierra Ridge approach to advisors nationally, and we're just getting started." Welcoming the Sierra Ridge team, Tim Stinson, President and leader of Cetera's Large Enterprise channel, said, "James and Giancarlo have already accomplished remarkable things, not only in the size and scale of Sierra Ridge Advisor Group, but in the truly special services they provide advisors, including their hands-on transition team. They're a natural fit for Cetera's Large Enterprise channel - we're proud to welcome them and my team is eager to support Sierra Ridge's next chapter of growth." About Cetera Cetera is the premier financial advisor Wealth Hub, empowering independent advisors and institutions with personalized support, flexible affiliation models, and end-to-end growth solutions. Home to approximately 12,000 financial professionals and institutions, Cetera's multi-channel ecosystem enables financial professionals to grow, scale or transition their businesses on their own terms. Unlike traditional IBDs, Cetera offers true choice - blending modern technology, integrated wealth solutions, and a community-driven culture. Cetera's five-channel model and commitment to long-term advisor value provide a scalable blueprint for consistent, repeatable growth. As of June 30, 2026, Cetera firms manage approximately $688 billion in assets under administration and $330 billion in assets under management. Its Voice of the Customer program has captured more than 50,000 advisor reviews, and over 45,000 five-star ratings, giving Cetera a 4.7 out of 5 satisfaction score. Cetera is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); and Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. (APP) and The Retirement Planning Group, LLC (TRPG), doing business as Cetera Planning Partners (CPP), are SEC registered investment advisers within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All referenced entities are under common ownership. Cetera exclusively provides investment products and services through its representatives. Although Cetera does not provide tax or legal advice, or supervise tax, accounting or legal services, Cetera representatives may offer these services through their independent outside businesses. This information is not intended as tax or legal advice. [1] Value approximated based on information provided to Cetera for asset holdings as of June 30, 2026. Tony Katsulos Director, External Communications Cetera Financial Group [email protected]

Advisor moves: Missouri-based LPL team decamps to Osaic in full-circle succession. Meanwhile, Cetera has welcomed a family-run practice from Commonwealth, and a Merrill advisor joins an existing UBS team in Connecticut. AUG 18, 2026 A Chesterfield, Missouri-based firm previously affiliated with LPL has joined Millenia Investments and affiliated with Osaic, in a move the companies describe as a full-circle succession story. O'Reilly LLC, which oversees approximately $250 million in client assets, is led by Patrick O'Reilly. The firm was founded by Patrick's father, Michael, and has served the greater St. Louis community for more than 50 years, working with private investors, business owners and ERISA retirement plans. Patrick O'Reilly has joined Millenia Investments as a financial advisor, and Carrie Wyatt has joined as a service advisor support specialist. "Millenia Investments shares our commitment to personal service and long-term relationships," said Patrick O'Reilly, principal owner of O'Reilly LLC. "Through its affiliation with Osaic, we will have access to expanded technology and investment resources that can help us deliver an even more connected and convenient experience for the families and businesses we serve." The move also reunites two firms with a personal history: Michael O'Reilly was an early mentor to Millenia Investments President Stephen Serati and had previously served as Michael's first succession partner before Patrick joined the family business. "Our firms share deep roots in the St. Louis community and a common belief that strong financial guidance begins with trust," Serati said. Millenia Investments is led by Serati and Samantha Estrada, executive manager and registered principal. Through Osaic, the combined firm gains access to the OneView consolidated reporting platform, Osaic's DirectChoice and Wealth Management Platform investment solutions, and tax planning software intended to support higher-net-worth client relationships. Cetera welcomes former Commonwealth advisor and family practice. Notching another addition to its record of recruitment from Commonwealth, Cetera has added Kim Hellerman-Hersman and her family-run practice, Harbor Financial Advisors, along with advisor Bryan T. Fox and their support staff. The team serves clients in more than 20 states and manages approximately $175 million in assets under administration. Hellerman-Hersman spent 24 years at Concourse Financial Group Securities before moving to Commonwealth in 2023. Cetera agreed to acquire Concourse in November in a transaction that was completed early last year, which brought several of her former colleagues into the Cetera network. Fox joined the practice in 2018 and has worked alongside Hellerman-Hersman since. The team's decision followed LPL's industry-shaking acquisition of Commonwealth last year. That deal pushed the pair to reassess their options before choosing Cetera, which won them over with its boutique service model and Fidelity's NFS as a familiar custodial platform. UBS draws Merrill advisor in Connecticut. UBS has hired Financial Advisor Brandon Burleigh in its Hartford, Connecticut office, where he joins the five-advisor Stone Harbor Group. The Hartford office is managed by Gabriel D'Amica, part of the Greater New York Metro Market led by Mara Glassel. Burleigh has been registered in the industry for four years. He most recently worked at Merrill Lynch and began his career at Northwestern Mutual, according to his BrokerCheck record. Burleigh is a US Army veteran who holds degrees from Post University in business finance and business administration, along with the chartered retirement planning counselor and certified financial planner designations.

The other side of the great wealth transfer. Partner Insights from Americans are retiring and passing along wealth in record numbers. For advisory firms, this "great wealth transfer" can put 10% or more of AUM at risk. This exclusive research from Financial Planning, in partnership with Cetera, finds 58% of asset movement is due to lack of a relationship between advisors and heirs. The report delivers analysis of real AUM losses, as well as actions to prevent them, including: * The most (and least) common wealth transfer advisory strategies * How to build engagement with younger-generation clients * The impact of digital tools and broker-dealer support for multigenerational engagement "The gap between firms' awareness of their vulnerability in the Great Wealth Transfer and the actions they've taken to address it remains one of the defining traits of today's advisory landscape," says Clint Brookshire, Community Leader at Cetera. Download the report to see how to close the gap, turning the Great Wealth Transfer from risk to opportunity. Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); and Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the referenced entities are under common ownership. Cetera named entities are not affiliated with any other named entity.