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FIRST CITIZENS ASSET MANAGEMENT, INC
CRD 140777File 801-79917
APPROVED
Retail clients
Custody
Disclosure events
Filing as of May 27, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$465.1M
Above cohort median (national)
Discretionary AUM
$435.1M
Non-discretionary $30.0M
Clients
1,263
1,274 accounts
Employees
58
Above cohort median in NC
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- Jun 19, 2014
- Principal office
- 8540 COLONNADE CENTER DRIVE, RALEIGH, NC, 27615
- Phone
- 800-229-0205
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $465.1M
- Discretionary AUM
- $435.1M
- Non-discretionary AUM
- $30.0M
- Discretionary accounts
- 1,272
- Non-discretionary accounts
- 2
- Total accounts
- 1,274
- AUM per client
- $368K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 9 | $3.8M |
| Charitable organizations | Fewer than 5 | $564K |
| High net worth individuals | 62 | $90.8M |
| State or municipal government entities | 6 | $77.4M |
| Individuals (other than high net worth individuals) | 1,184 | $292.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Other
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11C1
- Q11C2
- Q11C4
- Q11C5
- Q11H2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 1,264 | 1,263 | decreased by1 |
| Apr 1, 2026 | Employees | 53 | 58 | increased by5 |
| Apr 1, 2026 | Clients | 409 | 1,264 | increased by855 |
| Apr 1, 2026 | AUM | $167,013,742 | $465,065,299 | increased by$298,051,557 |
| Apr 1, 2026 | Accounts | 409 | 1,274 | increased by865 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 43 | 53 | increased by10 |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 544 | 409 | decreased by135 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $105,832,923 | $167,013,742 | increased by$61,180,819 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 544 | 409 | decreased by135 |
| Apr 1, 2022 | Employees | 41 | 43 | increased by2 |
| Apr 1, 2022 | Clients | 594 | 544 | decreased by50 |
| Apr 1, 2022 | AUM | $109,823,007 | $105,832,923 | decreased by$3,990,084 |
| Apr 1, 2022 | Accounts | 594 | 544 | decreased by50 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “FIRST CITIZENS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“FIRST CITIZENS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.