CITIZENS INVESTMENT ADVISORS
Adviser information for CITIZENS INVESTMENT ADVISORS last updated from Form ADV on March 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Rhode Island, United States |
Employees
| Total Number of Employees | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-60253 |
|---|---|
| SEC ERA File Number | 801-60253 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 112738 |
| Legal Entity Identifier | None |
Principal Office
ONE CITIZENS BANK WAYJCB135
JOHNSTON
RI
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 1-800-942-8300, Fax: 877-349-3048
Chief Compliance Officer
DAVID H. SHORE
CHIEF COMPLIANCE OFFICER
200 STATION DRIVE
MWS414
WESTWOOD
MA
United States
Tel:
781-364-1641
Fax:
781-401-3184
D**********@***************M
(Full email address available in API data)
Regulatory Contact
DAVID W. HAM
VICE PRESIDENT
200 STATION DRIVE
MWS414
WESTWOOD
MA
United States
Tel:
7813641641
Fax:
781-401-3184
D**********@*********************M
(Full email address available in API data)
Industry Affiliates
| CITIZENS BANK N.A. | Banking or thrift institution |
| CITIZENS JMP SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CITIZENS SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| CLARFELD | Other investment adviser, including financial planners |
| ESTATE PRESERVATION SERVICES LLC | Insurance company or agency |
| HARVEST CAPITAL STRATEGIES LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CITIZENS FINANCIAL GROUP, INC. | Domestic Entity | – | CITIZENS BANK, N.A. | 05/2005 | > 75% |
| SHORE, DAVID, HOWARD | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2018 | < 5% |