SVB ASSET MANAGEMENT
Adviser information for SVB ASSET MANAGEMENT last updated from Form ADV on March 29th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 106 |
|---|---|
| Investment Advisory/Research | 106 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 12 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 551 | $32.1B |
| Non-Discretionary | 0 | $0 |
| Total | 551 | $32.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $78.4M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $119.0M |
| Insurance companies | 5 | $174.9M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 543 | $31.7B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 3 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMMONEY MARKET FUND REVENUE SHARING FEES |
Identifiers
| SEC RIA File Number | 801-61674 |
|---|---|
| SEC ERA File Number | 801-61674 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 124567 |
| Legal Entity Identifier | 549300LV14I48HGRR807 |
Principal Office
222 2ND STREETSAN FRANCISCO
CA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 866-719-9117, Fax: None
Chief Compliance Officer
CHERIE HARRIS
CHIEF COMPLIANCE OFFICER
11 WEST 42ND ST
13TH FLOOR
NEW YORK
NY
United States
Tel:
212-461-5761
C************@****************M
(Full email address available in API data)
Regulatory Contact
ASHLEY DUNNING
COMPLIANCE MANAGER
222 2ND STREET
SAN FRANCISCO
CA
United States
Tel:
816-809-2960
A*******@******M
(Full email address available in API data)
Industry Affiliates
| FIRST CITIZENS ASSET MANAGEMENT, INC | Other investment adviser, including financial planners |
| FIRST CITIZENS CAPITAL SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FIRST CITIZENS INSTITUTIONAL ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
| FIRST CITIZENS INVESTOR SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| FIRST-CITIZENS BANK & TRUST COMPANY | Banking or thrift institution |
| NEUSE TITLE SERVICES, INC. | Insurance company or agency |
| SVB WEALTH | 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 |
|---|---|---|---|---|---|
| Stevenson, William | Individual | – | DIRECTOR | 03/2020 | < 5% |
| KAO, PATRICIA, CHIENFANG | Individual | – | PRESIDENT, CEO AND DIRECTOR | 10/2020 | < 5% |
| IDOL, MICHAEL, WADE | Individual | – | ANTI-MONEY LAUNDERING OFFICER | 01/2023 | < 5% |
| BRISTOW, PETER, MCDONALD | Individual | – | DIRECTOR | 03/2024 | < 5% |
| FIRST-CITIZENS BANK & TRUST COMPANY | Domestic Entity | – | PARENT | 03/2023 | > 75% |
| FIRST CITIZENS BANCSHARES, INC. | Domestic Entity | FIRST-CITIZENS BANK & TRUST COMPANY | 100% OWNER | 03/2023 | > 75% |
| HARRIS, CHERIE, TANIKA | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2023 | < 5% |
| WARD, JEFF, MICHAEL | Individual | – | DIRECTOR | 03/2024 | < 5% |
| YOUNG, MICHAEL, ROBERT | Individual | – | DIRECTOR | 03/2024 | < 5% |