{"url":"https://nivawealth.com/firms/svb-asset-management-124567","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/124567","regulatoryAum":32316444668,"crd":"124567","secFileNumber":"801-61674","legalName":"SVB Asset Management","displayName":"SVB Asset Management","website":null,"founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"222 2nd Street","city":"San Francisco","state":"CA","stateName":"California","country":"United States","postalCode":"94105"},"tradeNames":[],"registration":{"secApproved":"2 January 2003","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":24,"advisory":24,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":32316444668,"discretionaryAccounts":458,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Other investment advisers","clients":1,"regulatoryAum":1510099},{"label":"Insurance companies","clients":3,"regulatoryAum":39427431},{"label":"Corporations and other businesses","clients":454,"regulatoryAum":32275507138}],"fees":[],"feeNotes":[],"custodians":[{"name":"U.S. Bank National Association","shortName":"U.S. Bank National Association","location":"Cincinnati, OH","smaAssets":32104465452}],"custodyNote":"SVB Asset Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Patricia Kao","title":"President, CEO and Director","crd":"3271460"},{"name":"Alisha Gettys","title":"Chief Compliance Officer","crd":"6254273"},{"name":"Peter Bristow","title":"Director","crd":"5130469"},{"name":"Michael Idol","title":"Anti-Money Laundering Officer","crd":"4928495"},{"name":"William Stevenson","title":"Director","crd":"7091639"},{"name":"Jeff Ward","title":"Director","crd":"6247772"},{"name":"Michael Young","title":"Director","crd":"4410392"}],"ownership":[{"label":"First-Citizens Bank & Trust Company","detail":"Parent in the 75% or more ownership band and a control person, since March 2023."},{"label":"First Citizens Bancshares, Inc.","detail":"Indirect owner: a 100% owner of First-Citizens Bank & Trust Company in the 75% or more band and a control person, since March 2023.","parent":"First-Citizens Bank & Trust Company"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":7,"privateResidences":1},"listedOfficeAddresses":7,"officesByState":[{"state":"California","offices":3,"addresses":[{"street":"222 2nd Street","city":"San Francisco","headquarters":true},{"street":"200 Spectrum Center Drive","city":"Irvine"},{"street":"2625 Augustine Drive","city":"Santa Clara"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"30 South Wacker Drive","city":"Chicago"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"53 State Street","city":"Boston"}]},{"state":"North Carolina","offices":1,"addresses":[{"street":"201 S Tryon Street","city":"Charlotte"}]},{"state":"Utah","offices":1,"addresses":[{"street":"2750 East Cottonwood Parkway","city":"Salt Lake City"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"866-719-9117","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Other"],"activities":["Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"U.S. government/agency bonds","percent":36},{"label":"Investment grade corporate bonds","percent":27},{"label":"Cash and cash equivalents","percent":34},{"label":"Other","percent":3,"detail":"Asset Backed Securities and Supranational Securities"}],"privateFunds":0},"sources":{"adv1FilingDate":"18 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/124567/PDF/124567.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does SVB Asset Management have?","answer":"SVB Asset Management has 458 clients and manages $32.3 billion for them, as of September 2026. They include 454 corporations and other businesses, 3 insurance companies and 1 other investment advisers.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does SVB Asset Management offer?","answer":"SVB Asset Management provides portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does SVB Asset Management use?","answer":"SVB Asset Management’s separately managed account assets are held at U.S. Bank National Association (Cincinnati, OH), with $32,104,465,452. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does SVB Asset Management have?","answer":"SVB Asset Management has 3 investment adviser representatives registered with state securities authorities, out of 24 employees, and 24 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does SVB Asset Management invest in?","answer":"At the end of its last fiscal year, SVB Asset Management’s separately managed accounts held 36% U.S. government and agency bonds, 34% cash and equivalents, 27% investment grade corporate bonds and 3% asset backed securities and supranational securities. It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns SVB Asset Management?","answer":"SVB Asset Management is owned through a trust by First Citizens Bancshares, Inc. Its direct owner is First-Citizens Bank & Trust Company (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 18 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does SVB Asset Management get paid?","answer":"SVB Asset Management is paid through a percentage of assets under management and other arrangements. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}