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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

CITIZENS INVESTMENT ADVISORS

CRD 112738

JOHNSTON, RI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5e1897a0-e9f0-26a8-1948-8d378c992471

Data as of Mar 15, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 5
On other graphs: 0
Observed: Apr 3, 2012 to Mar 15, 2024
32 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0
SEC number: 801-60253
CRD: 112738
Filings on the tape: 32
First filed: Apr 3, 2012
Latest filed: Mar 15, 2024
Organised: Other (specify), Rhode Island

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CITIZENS FINANCIAL GROUP, INC.	CITIZENS BANK, N.A.	E	yes	05/2005	Apr 3, 2012	Mar 15, 2024
SHORE, DAVID, HOWARD	CHIEF COMPLIANCE OFFICER	Na	yes	08/2018	Aug 20, 2018	Mar 15, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CLARFELD FINANCIAL ADVISORS, LLC	n/a	Bd affiliated wealth	$17B	N	yes	n/a
CITIZENS SECURITIES, INC.	n/a	Bd affiliated wealth	$13B	N	yes	n/a
HARVEST CAPITAL STRATEGIES LLC	n/a	Former SEC adviser	$1.1M	N	yes	n/a
CITIZENS BANK N.A.	n/a	n/a	n/a	Y	yes	n/a
CITIZENS JMP SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a
ESTATE PRESERVATION SERVICES LLC	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 15, 2024	n/a	n/a	0	0	0	n/a	n/a
2022	Mar 17, 2023	n/a	n/a	0	0	0	n/a	n/a
2021	Mar 31, 2022	n/a	n/a	0	0	0	n/a	n/a
2020	Mar 31, 2021	$234M	$234M	5	2	0	n/a	n/a
2019	Mar 30, 2020	$241M	$241M	5	2	0	n/a	n/a
2018	Mar 29, 2019	$217M	$217M	5	2	0	n/a	n/a
2017	Mar 30, 2018	$238M	$238M	5	2	0	n/a	n/a
2016	Mar 29, 2017	$248M	$248M	4	2	n/a	n/a	n/a
2015	Apr 6, 2016	$241M	$241M	4	2	n/a	n/a	n/a
2014	Mar 31, 2015	$233M	$233M	4	2	n/a	n/a	n/a
2013	Mar 31, 2014	$219M	$0	4	2	n/a	n/a	n/a
2012	Apr 1, 2013	$253M	$0	4	2	n/a	n/a	n/a
2011	Apr 3, 2012	$250M	$0	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	n/a	n/a	n/a	$234M	n/a	0	0	0	0

Relationships

Affiliated with (6)

← CITIZENS SECURITIES, INC.Registered adviserother investment adviser, common control
factForm ADV
← CITIZENS PRIVATE WEALTHRegistered adviserother investment adviser, common control
factForm ADV
← HARVEST CAPITAL STRATEGIES LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CITIZENS PRIVATE WEALTHRegistered adviserother investment adviser, common control
factForm ADV
→ HARVEST CAPITAL STRATEGIES LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (2)

← SHORE, DAVID, HOWARDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 20, 2018 to presentfactForm ADV
← CITIZENS FINANCIAL GROUP, INC.OwnerCITIZENS BANK, N.A., ownership code E, domestic entity
Apr 3, 2012 to presentfactForm ADV

Dated events

Occurred
May 2, 2025
Left the SEC roster
Citizens Investment Advisors no longer on the SEC adviser roster (last listed 2025-03-06)
Form ADVobserved 5 days ago
0 USD_RAUM
Occurred
Mar 31, 2022
Control person left
Kenney Jeffrey Hanna (Portfolio Manager) no longer on Schedule A of Citizens Investment Advisors (listed 2021-03-31, absent 2022-03-31)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2022
Control person left
D Michael Hans (Chief Investment Officer, Senior Vice President) no longer on Schedule A of Citizens Investment Advisors (listed 2021-03-31, absent 2022-03-31)
Form ADVobserved 5 days ago
Occurred
Apr 17, 2020
Control person left
Daniel Laplante (Chief Investment Officer, Senior Vice President) no longer on Schedule A of Citizens Investment Advisors (listed 2020-03-30, absent 2020-04-17)
Form ADVobserved 5 days ago
Occurred
Apr 17, 2020
Control person joined
D Michael Hans (Chief Investment Officer, Senior Vice President) appeared on Schedule A of Citizens Investment Advisors
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e1897a0-e9f0-26a8-1948-8d378c992471
First observed: Apr 3, 2012
Last observed: Mar 15, 2024 30 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CITIZENS INVESTMENT ADVISORS

CRD 112738

JOHNSTON, RI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5e1897a0-e9f0-26a8-1948-8d378c992471

Data as of Mar 15, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:07 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CITIZENS FINANCIAL GROUP, INC.

CITIZENS BANK, N.A.

yes

05/2005

Apr 3, 2012

Mar 15, 2024

SHORE, DAVID, HOWARD

CHIEF COMPLIANCE OFFICER

yes

08/2018

Aug 20, 2018

Mar 15, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CLARFELD FINANCIAL ADVISORS, LLC

n/a

Bd affiliated wealth

$17B

yes

n/a

CITIZENS SECURITIES, INC.

n/a

Bd affiliated wealth

$13B

yes

n/a

HARVEST CAPITAL STRATEGIES LLC

n/a

Former SEC adviser

$1.1M

yes

n/a

CITIZENS BANK N.A.

n/a

yes

n/a

CITIZENS JMP SECURITIES, LLC

n/a

yes

n/a

ESTATE PRESERVATION SERVICES LLC

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 15, 2024

n/a

2022

Mar 17, 2023

n/a

2021

Mar 31, 2022

n/a

2020

Mar 31, 2021

$234M

n/a

2019

Mar 30, 2020

$241M

n/a

2018

Mar 29, 2019

$217M

n/a

2017

Mar 30, 2018

$238M

n/a

2016

Mar 29, 2017

$248M

n/a

2015

Apr 6, 2016

$241M

n/a

2014

Mar 31, 2015

$233M

n/a

2013

Mar 31, 2014

$219M

n/a

2012

Apr 1, 2013

$253M

n/a

2011

Apr 3, 2012

$250M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

n/a

$234M

n/a