Data / Investment advisers / Rhode Island / Citizens Securities, Inc.
Citizens Securities, Inc., Johnston, RI: $12.9 billion AUM, SEC registered investment adviser
Citizens Securities, Inc. is an SEC registered investment adviser with its main office in Johnston, Rhode Island and reports $12.9 billion in regulatory assets under management in its Form ADV filed October 2, 2026. Its clients include individuals, high net worth individuals and corporations and other businesses. It is paid through a percentage of assets under management.
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- Registration
- SEC registered investment adviser
- CRD number
- 39550
- SEC file number
- 801-61902
- SEC status
- Approved, effective March 27, 2003
- Main office
- One Citizens Bank Way Jcb135, Johnston, RI 02919
- Phone
- (800) 942-8300
- Regulatory AUM
- $12,868,719,975 in the Form ADV filed October 2, 2026
- Non discretionary AUM
- $12,868,719,975
- Accounts
- 60,545
- Employees
- 471, of which 454 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management
- Other offices
- 993
- Form ADV Item 11 disclosures
- Reported: other federal, state or foreign regulatory actions, other Item 11 matters
- Latest Form ADV filing
- October 2, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 60,118 | $12.21 billion |
| High net worth individuals | 44 | $359.4 million |
| Corporations or other businesses | 383 | $302.6 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $12.87 billion | March 31, 2026 |
| December 1, 2025 | $9.19 billion | June 23, 2025 |
Other advisers in Rhode Island
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Fiam LLC | Smithfield | $347.73 billion | 21 | adviserinfo.sec.gov |
| Providence Equity Partners L.L.C. | Providence | $24.12 billion | 39 | adviserinfo.sec.gov |
| Nautic Partners, LLC | Providence | $13.97 billion | 18 | adviserinfo.sec.gov |
| Global Strategic Risk Management, LLC | Providence | $2.91 billion | 1 | adviserinfo.sec.gov |
| Parsons Capital Management Inc | Providence | $2.38 billion | Not listed | adviserinfo.sec.gov |
| Unison | Providence | $2.02 billion | Not listed | adviserinfo.sec.gov |
| Young Richard C & Co LTD | Newport | $1.80 billion | Not listed | adviserinfo.sec.gov |
| Professional Planning Group | Westerly | $1.32 billion | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Rhode Island
- Advisers with $10 billion to $100 billion in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- Citizens Securities, Inc. on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.