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Investment Adviser Firm Summary

FIRST CITIZENS ASSET MANAGEMENT, INC (CRD# 140777 / SEC# 801-79917)
Alternate Names: FIRST CITIZENS ASSET MANAGEMENT, INC , FIRST CITIZENS CAPITAL MANAGEMENT, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/19/2014
Arkansas Terminated 12/22/2014
Georgia Terminated 03/21/2017
North Carolina Terminated 03/22/2017
Rhode Island Terminated 03/24/2017
South Carolina Terminated 07/15/2014

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alaska 10/31/2014
California 10/31/2014
Colorado 10/31/2014
Florida 10/31/2014
Georgia 06/19/2014
Hawaii 10/31/2014
Indiana 10/31/2014
Kentucky 08/13/2014
Maryland 10/31/2014
North Carolina 06/19/2014
Ohio 08/12/2014
Oregon 12/01/2014
Pennsylvania 10/31/2014
Rhode Island 03/29/2017
South Carolina 06/19/2014
Texas 10/31/2014
Virginia 10/31/2014

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser