SEC-registered wealth management firm Broker-dealer affiliated
SVB Wealth
As of its Form ADV filed March 31, 2026, SVB Wealth, an SEC-registered, broker-dealer affiliated wealth management firm in Boston, Massachusetts, reported $3.1 billion in regulatory assets under management across 2,623 accounts, ranking #34 among all wealth firms in Massachusetts by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 172832
- SEC file number
- 801-80480
- Registered since
- October 2, 2014
- Latest Form ADV filing
- March 31, 2026
- Legal name
- SVB WEALTH LLC
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 24
Key figures
- Regulatory assets under management
- $3.1 billion
- Discretionary
- $3.0 billion (98.2%)
- Non-discretionary
- $55.6 million
- Accounts
- 2,623 (2,552 discretionary)
- Clients
- 1,101, approximate as reported
- Employees
- 73
- Advisory staff
- 36 performing investment advisory functions
- Average account
- $1.2 million
- Asset growth, 1 year
- -37.9% (from $5.0 billion a year earlier)
- Asset growth, 3-year annual rate
- -40.6% (from $14.8 billion three years earlier)
- Asset growth, 5-year annual rate
- -26.5% (from $14.4 billion five years earlier)
- Client growth, 1 year
- -24.1% (from 1,451)
Broker-dealer affiliated. The firm is a bank, or a separately identifiable department or division of a bank (Item 6.A(7)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2015 | $8.9 billion |
| October 3, 2016 | $7.1 billion |
| October 2, 2017 | $6.7 billion |
| October 1, 2018 | $7.4 billion |
| October 1, 2019 | $12.8 billion |
| October 1, 2020 | $13.3 billion |
| October 4, 2021 | $14.4 billion |
| October 3, 2022 | $15.9 billion |
| October 5, 2023 | $14.8 billion |
| October 1, 2024 | $6.6 billion |
| September 2, 2025 | $5.0 billion |
| October 2, 2026 | $3.1 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 530 clients | $2.2 billion | |
| Corporations or other businesses 61 clients | $437.6 million | |
| Charitable organizations 13 clients | $212.5 million | |
| Individuals (other than high net worth) 494 clients | $184.2 million | |
| Pension and profit sharing plans fewer than 5 clients | $23.0 million |
How the firm is paid
- A percentage of assets under management
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting
- Selection of other advisers
- Publication of periodicals or newsletters
- Educational seminars or workshops
- Other
Financial planning clients (Item 5.H): 251-500.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Registered representative of a broker-dealer
- Bank
- Trust company
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Banking or thrift institution
- Insurance company or agency
Custody (Item 9)
The firm reported custody of client cash or securities, $518.9 million in total.
Investment adviser representatives
- IARs registered with the firm
- 80
- Also registered through a broker-dealer
- 58
- Employees who are IARs (Form ADV 5.B(3))
- 73
Designations held by the firm's IARs: CFP 11, CFA 8.
Between 30 and 80 of the firm's 80 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 4 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Massachusetts
| Firm | City | RAUM |
|---|---|---|
| Flagship Harbor Advisors, LLC | Boston | $3.4 billion |
| Northeast Investment Management Inc | Boston | $3.3 billion |
| Santander Securities | Boston | $3.1 billion |
| Winthrop Wealth | Boston | $3.1 billion |
| Birch Hill Investment Advisors LLC | Boston | $2.9 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- SVB Wealth on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.firstcitizens.com/wealth/disclosures
- Wealth management firms in Massachusetts
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.