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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 1b 10b

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD 44430

RALEIGH, NC

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:6eb9366b-c2be-153e-6766-4dd0dd14ad59

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 680
Dated events: 40
On other graphs: 0
Observed: Feb 16, 2012 to Sep 17, 2026
70 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: broker-dealer affiliated wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=351.0
Regulatory AUM: $2.6BItem 5.F on the latest filing (2026-09-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.2M
Private client RAUM: $2.6BderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 405
RAUM per advisor: $6.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 352
Advisory employees: 164
Offices: 111Schedule D 1.F, beyond the principal office
Accounts: 7,645
Individual clients: 6,918
High net worth clients: 645
Custody, client assets: $159M
SEC number: 801-57302
CIK: 1051487
CRD: 44430
Filings on the tape: 70
First filed: Feb 16, 2012
Latest filed: Sep 17, 2026
Organised: Corporation, NC
Website: firstcitizens.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 309

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DANIEL CLAYTON GRIFFIN	Certified Financial Planner	FAYETTEVILLE, NC	24	34	n/a	yes
LAURA CROTTS FRUSHONE	n/a	RALEIGH, NC	24	34	n/a	yes
SONYA CROSS WENTZ	n/a	Lawrenceville, VA \| Chase City, VA \| DANVILLE, VA \| Emporia, VA	24	32	n/a	yes
KORENE Z. PHILLIPS MARSH	Certified Financial Planner	JACKSONVILLE, NC \| Swansboro, NC	24	31	1	yes
RANDY DEAN DRISKILL	n/a	Wilmington, NC	23	32	n/a	yes
GREGORY DANA WEISS	n/a	RALEIGH, NC	23	26	1	yes
DAVID MCARTHUR MALLORY	n/a	Raleigh, NC	23	23	n/a	yes
THAD EUGENE TUCKER	Certified Financial Planner	Madison, NC \| Reidsville, NC \| CHARLOTTE, NC \| GREENSBORO, NC	23	29	1	yes
SCOTT HARRINGTON ANGEL	Certified Financial Planner	CHARLOTTE, NC \| COLUMBIA, SC	23	24	n/a	yes
DAN RICHARDSON THOMASON	n/a	RALEIGH, NC \| Durham, NC	21	21	1	yes
ANGELA HUGHES SMELCER	n/a	Raleigh, NC \| Cary, NC \| Washington , PA	21	25	1	yes
JAMIE GAYLE SMOTHERS	Certified Financial Planner	GREENSBORO, NC \| CHARLOTTE, NC	19	20	1	yes
THERESA LLOYD HARRIS	n/a	Raleigh, NC	18	26	2	yes
JONATHAN NICHOLAS HOLLIE	n/a	RALEIGH, NC \| DANVILLE, VA	18	18	n/a	yes
TROY LEE FAIRBANK	n/a	Durham, NC \| Chapel Hill, NC \| Pittsboro, NC	17	20	2	yes
ERIC BRIAN CANNON	Certified Financial Planner	CHARLOTTE, NC \| Hendersonville, NC	17	26	n/a	yes
KIMBERLY BASSETT CARPENTER	n/a	ALBEMARLE, NC \| CHARLOTTE, NC \| Indian Trail, NC	16	27	n/a	yes
ASHLEY MOODY GALLION	n/a	CHARLOTTE, NC \| MORGANTON, NC	15	20	3	yes
KENNETH HAYES MARSH	Certified Financial Planner	RALEIGH, NC	15	24	3	yes
DAVID WINFIELD MILLER	n/a	Havelock, NC \| Newport, NC \| Beaufort, NC	15	28	2	yes
THOMAS SANDERLIN OWENS	n/a	CHARLOTTE, NC \| Hendersonville, NC	15	19	1	yes
JAY ALLEN WILDERMAN	n/a	Hendersonville, NC \| Brevard, NC \| MILLS RIVER, NC \| CHARLOTTE, NC \| Highlands, NC	14	18	1	yes
MARCUS EUGENE ATKINSON	n/a	COLUMBIA, SC \| CHARLOTTE, NC	14	31	1	yes
ERNEST L KIEFER	Certified Financial Planner	CHARLOTTE, NC \| RALEIGH, NC	13	18	2	yes
ROBERT LEE DICKINSON	Certified Financial Planner	RALEIGH, NC \| Rogers, AR	13	32	1	yes

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
BILITER, DAVID LEE	DIRECTOR, PRESIDENT	Na	yes	12/2020	May 30, 2026	May 30, 2026
CECE, MARY	Secretary	Na	yes	04/2025	May 30, 2026	May 30, 2026
FIRST-CITIZENS BANK & TRUST	100% OWNER	E	yes	01/1994	May 30, 2026	May 30, 2026
LONGEST, MICHAEL LEE	DIRECTOR, SENIOR DIRECTOR WEALTH FINANCE & TECHNOLOGY	Na	yes	07/2024	May 30, 2026	May 30, 2026
MCCALLUM, CHARLES FALCONER III	DIRECTOR, SENIOR DIRECTOR WEALTH RISK & GOVERNANCE	Na	yes	02/2024	May 30, 2026	May 30, 2026
MEARS, JOHANNA MARIE	CHIEF COMPLIANCE OFFICER	Na	yes	03/2026	May 30, 2026	May 30, 2026
SHORES, SERINA M.	SENIOR DIRECTOR FCIS COMPLIANCE	Na	yes	05/2025	May 30, 2026	May 30, 2026
WILSON, MICHAEL CHRISTOPHER	DIRECTOR, WEALTH MANAGEMENT EXECUTIVE	Na	yes	02/2014	May 30, 2026	May 30, 2026
FIRST CITIZENS BANCSHARES, INC.	Owner	E	yes	01/1994	Feb 16, 2012	Nov 15, 2024
FIRST-CITIZENS BANK & TRUST COMPANY	100% OWNER	E	yes	01/1994	Feb 16, 2012	Nov 15, 2024
HARPS, THOMAS BITTENBENDER	DIRECTOR, INTERIM CHIEF COMPLIANCE OFFICER	Na	yes	11/2024	Nov 15, 2024	Nov 15, 2024
WALSH, WILLIAM JAMES	DIRECTOR, FIRST CITIZENS OUTSIDE DIRECTOR	Na	yes	02/2024	Feb 28, 2024	Nov 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
SVB ASSET MANAGEMENT	n/a	Other adviser	$32B	N	yes	n/a
SVB WEALTH LLC	n/a	Independent wealth	$3.1B	N	yes	n/a
FIRST CITIZENS INVESTOR SERVICES, INC.	n/a	Bd affiliated wealth	$2.6B	Y	yes	n/a
FIRST CITIZENS INSTITUTIONAL ASSET MANAGEMENT LLC	n/a	Asset manager	$829M	N	yes	n/a
FIRST CITIZENS ASSET MANAGEMENT, INC	n/a	Bd affiliated wealth	$465M	N	yes	n/a
FIRST CITIZENS CAPITAL SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a
FIRST-CITIZENS BANK & TRUST COMPANY	n/a	n/a	n/a	Y	yes	n/a
NEUSE TITLE SERVICES	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Raleigh	Nc	United States	29	yes
Pasadena	CA	United States	11	yes
Columbia	Sc	United States	9	yes
Columbia	Sc	United States	6	yes
Raleigh	Nc	United States	5	yes
Atlanta	Ga	United States	4	yes
MISSION VIEGO	CA	United States	3	yes
Jacksonville	Nc	United States	3	yes
Sumter	Sc	United States	3	yes
Arden	Nc	United States	2	yes
Durham	Nc	United States	2	yes
Hendersonville	Nc	United States	2	yes
Wilmington	Nc	United States	2	yes
Irmo	Sc	United States	2	yes
Spartanburg	Sc	United States	2	yes
Richmond	Va	United States	2	yes
Charlotte	Nc	United States	1	yes
Greensboro	Nc	United States	1	yes
Morganton	Nc	United States	1	yes
Raleigh	Nc	United States	1	yes
Raleigh	Nc	United States	1	yes
WINSTON-SALEM	Nc	United States	1	yes
Charleston	Sc	United States	1	yes
Columbia	Sc	United States	1	yes
Greenville	Sc	United States	1	yes

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; showing 15 of 18

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 23, 2026	$2.6B	$3.2M	352	164	111	n/a	n/a
2024	Mar 29, 2025	$2.1B	$2.1B	322	148	113	n/a	n/a
2023	Mar 30, 2024	$1.7B	$1.7B	235	130	107	n/a	n/a
2022	Mar 30, 2023	$1.5B	$1.5B	250	138	73	n/a	n/a
2021	Mar 31, 2022	$1.6B	$1.6B	201	107	72	n/a	n/a
2020	Apr 1, 2021	$1.2B	$1.2B	208	110	72	n/a	n/a
2019	Apr 1, 2020	$981M	$981M	175	93	72	n/a	n/a
2018	Mar 29, 2019	$790M	$790M	177	96	72	n/a	n/a
2017	Mar 16, 2018	$732M	$732M	153	86	72	n/a	n/a
2016	Mar 17, 2017	$587M	$587M	110	67	n/a	n/a	n/a
2015	Mar 28, 2016	$559M	$559M	109	79	n/a	n/a	n/a
2014	Mar 11, 2015	$569M	$569M	104	74	n/a	n/a	n/a
2013	Mar 31, 2014	$521M	$521M	124	95	n/a	n/a	n/a
2012	Feb 11, 2013	$418M	$418M	140	120	n/a	n/a	n/a
2011	Feb 16, 2012	$340M	$340M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
39	34	5	8.4%	8	6	0	120	69

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
2025	$2.6B	$2.1B	25.1%	$1.5B	19.8%	352	322	111	113

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
OSAIC WEALTH, INC.	2	Feb 26, 2026	Mar 21, 2026	SUMTER, SC	Team lift out	Ibd to ibd	0.5%
LPL FINANCIAL LLC	2	Oct 30, 2025	Dec 11, 2025	PASADENA, CA	Team lift out	Ibd to ibd	0.6%
CITIGROUP GLOBAL MARKETS INC.	2	Oct 21, 2025	Nov 4, 2025	PASADENA, CA	Team lift out	Ibd to ibd	0.6%
FIRST CITIZENS ASSET MANAGEMENT, INC	2	Oct 13, 2023	Oct 25, 2022	CONCORD, NC	Team lift out	Ibd to RIA	0.8%
WELLS FARGO ADVISORS	2	Jun 5, 2023	Jun 5, 2023	CHARLOTTE, NC	Team lift out	Ibd to wirehouse	0.8%
FIRST CITIZENS ASSET MANAGEMENT, INC	2	Sep 6, 2022	Mar 23, 2022	RALEIGH, NC	Team lift out	Ibd to RIA	0.9%
J.P. MORGAN SECURITIES LLC	2	Sep 9, 2020	Dec 22, 2020	RALEIGH, NC	Team lift out	Ibd to wirehouse	1.3%
WELLS FARGO ADVISORS	2	Apr 30, 2019	May 6, 2019	GREENVILLE, NC	Team lift out	Ibd to wirehouse	1.5%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FIRST CITIZENS ASSET MANAGEMENT, INC	2	Feb 27, 2026	May 15, 2017	SUMTER, SC	Team lift out	RIA to ibd	3.4%
SVB WEALTH	3	Oct 21, 2025	May 29, 2025	SAN FRANCISCO, CA	Team lift out	RIA to ibd	3.8%
WELLS FARGO ADVISORS	2	Sep 11, 2025	Sep 30, 2025	CHARLOTTE, NC	Team lift out	Wirehouse to ibd	0.0%
TRUIST ADVISORY SERVICES, INC.	2	Oct 10, 2023	Nov 13, 2023	RALEIGH, NC	Team lift out	Ibd to ibd	0.1%
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	2	Aug 24, 2023	Nov 16, 2023	OMAHA, NE	Team lift out	Ibd to ibd	11.1%
LPL FINANCIAL LLC	2	Aug 22, 2022	Aug 30, 2022	FORT MILL, SC	Team lift out	RIA to ibd	0.0%
FIRST CITIZENS ASSET MANAGEMENT, INC	3	Nov 24, 2020	May 18, 2017	MYRTLE BEACH, SC	Team lift out	RIA to ibd	8.3%
WELLS FARGO ADVISORS	2	Oct 24, 2019	Oct 28, 2019	PINEHURST, NC	Team lift out	Wirehouse to ibd	0.0%
WELLS FARGO ADVISORS	2	Jun 18, 2018	Jul 9, 2018	GASTONIA, NC	Team lift out	Wirehouse to ibd	0.0%
FIRST CITIZENS ASSET MANAGEMENT, INC	2	Dec 31, 2017	May 15, 2017	RALEIGH, NC	Team lift out	Other	6.3%
CAPITAL INVESTMENT ADVISORY SERVICES, LLC	2	Mar 11, 2016	Apr 12, 2016	RALEIGH, NC	Team lift out	Other	3.0%

Relationships

showing 80 of 680

Registered with (71)

← KARSTEN DAVID MELGAARDAdvisorregistration: current employment
Sep 10, 2026 to presentfactForm ADV
← Dylan Lane ThurmanAdvisorregistration: current employment
Sep 10, 2026 to presentfactForm ADV
← Benjamin Michael StricklandAdvisorregistration: current employment
Sep 4, 2026 to presentfactForm ADV
← ANNA DICKERSON FRANKSAdvisorregistration: current employment
Sep 1, 2026 to presentfactForm ADV
← Garrett Houston MajorAdvisorregistration: current employment
Aug 31, 2026 to presentfactForm ADV
← JENNIFER MICHELLE DAUPHIN-GREGGAdvisorregistration: current employment
Aug 27, 2026 to presentfactForm ADV
← Amanda Brooke CoxAdvisorregistration: current employment
Aug 24, 2026 to presentfactForm ADV
← Nikolas Riley BooneAdvisorregistration: current employment
Aug 24, 2026 to presentfactForm ADV
← Ryan Lewis RuffAdvisorregistration: current employment
Aug 20, 2026 to presentfactForm ADV
← CARY LEE BEACHAdvisorregistration: current employment
Aug 19, 2026 to presentfactForm ADV
← Christopher Walker LindamoodAdvisorregistration: current employment
Aug 12, 2026 to presentfactForm ADV
← Thomas Cooper SmithAdvisorregistration: current employment
Aug 12, 2026 to presentfactForm ADV
← DARISA PAEZSANTANAAdvisorregistration: current employment
Aug 7, 2026 to presentfactForm ADV
← BRIAN PATRICK CORBETTAdvisorregistration: current employment
Jul 16, 2026 to presentfactForm ADV
← JAMES Wesley PAGEAdvisorregistration: current employment
Jul 15, 2026 to presentfactForm ADV
← Andrew Wade CanadyAdvisorregistration: current employment
Jul 13, 2026 to presentfactForm ADV
← Xzavier Tyrese JacobsAdvisorregistration: current employment
Jul 7, 2026 to presentfactForm ADV
← SCOTT SOENENAdvisorregistration: current employment
Jun 29, 2026 to presentfactForm ADV
← BRIAN NICHOLAS MCBRIDEAdvisorregistration: current employment
Jun 29, 2026 to presentfactForm ADV
← VENET BERISHAAdvisorregistration: current employment
Jun 15, 2026 to presentfactForm ADV
← ANDERSON MITCHELLAdvisorregistration: current employment
Jun 12, 2026 to presentfactForm ADV
← Heather Mauldin ColeyAdvisorregistration: current employment
Jun 10, 2026 to presentfactForm ADV
← Frederic Charles KaneAdvisorregistration: current employment
Jun 9, 2026 to presentfactForm ADV
← James Austin MarquisAdvisorregistration: current employment
Jun 3, 2026 to presentfactForm ADV
← ANU MAHAJANAdvisorregistration: current employment
Jun 2, 2026 to presentfactForm ADV
← JODI SCOTTAdvisorregistration: current employment
May 27, 2026 to presentfactForm ADV
← NATHAN STOUFFERAdvisorregistration: current employment
May 22, 2026 to presentfactForm ADV
← MATTHEW MURPHYAdvisorregistration: current employment
May 20, 2026 to presentfactForm ADV
← Jovany Jorge NoyAdvisorregistration: current employment
May 18, 2026 to presentfactForm ADV
← CHRISTIAN Joseph DILORENZOAdvisorregistration: current employment
May 15, 2026 to presentfactForm ADV
and 41 more

Affiliated with (9)

→ SVB ASSET MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
→ FIRST CITIZENS ASSET MANAGEMENT, INCRegistered adviserother investment adviser, common control
factForm ADV
→ SVB WEALTHRegistered adviserother investment adviser, common control
factForm ADV
→ FIRST CITIZENS INSTITUTIONAL ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ FIRST CITIZENS INVESTOR SERVICES, INC.Registered adviserother investment adviser, broker-dealer, control, common control
factForm ADV
← FIRST CITIZENS ASSET MANAGEMENT, INCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← SVB WEALTHRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← SVB ASSET MANAGEMENTRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← FIRST CITIZENS INSTITUTIONAL ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 10, 2026
Advisor changed firm
William Fletcher Hester left First Citizens Investor Services, Inc. for Lpl Financial Llc (registered 2026-09-03)
Form ADVobserved 4 days ago
Occurred
Aug 25, 2026
Advisor changed firm
Royce Cole Kountis left First Citizens Investor Services, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-09-17)
Form ADVobserved today
Occurred
Aug 12, 2026
Advisor changed firm
Carl Albert Modecki left First Citizens Investor Services, Inc. for Truist Advisory Services, Inc. (registered 2026-08-17)
Form ADVobserved 4 days ago
Occurred
Jul 7, 2026
Advisor changed firm
Madison Frye left First Citizens Investor Services, Inc. for Lpl Financial Llc (registered 2026-07-01)
Form ADVobserved 4 days ago
Occurred
Jun 24, 2026
Advisor changed firm
Matthew Ryan Brandon left First Citizens Investor Services, Inc. for Raymond James Financial Services Advisors, Inc (registered 2026-08-31)
Form ADVobserved 4 days ago
Occurred
Jun 15, 2026
Advisor changed firm
Robert Clark Moore left First Citizens Investor Services, Inc. for Empower Advisory Group, Llc (registered 2026-06-24)
Form ADVobserved 4 days ago
Occurred
May 29, 2026
Advisor changed firm
Logan D Chandler left First Citizens Investor Services, Inc. for Edward Jones (registered 2026-06-22)
Form ADVobserved 4 days ago
Occurred
May 13, 2026
Advisor changed firm
Marie Rose Zoutomou Hockaday left First Citizens Investor Services, Inc. for Victory Capital Management Inc. (registered 2026-07-08)
Form ADVobserved 4 days ago
Occurred
May 13, 2026
Advisor changed firm
Stacy H Bortle left First Citizens Investor Services, Inc. for Citizens Securities, Inc. (registered 2026-08-03)
Form ADVobserved 4 days ago
Occurred
Apr 24, 2026
Advisor changed firm
Kasie Craven left First Citizens Investor Services, Inc. for Wells Fargo Advisors (registered 2026-08-10)
Form ADVobserved 4 days ago
Occurred
Apr 21, 2026
Advisor changed firm
Jackson Dewitt King left First Citizens Investor Services, Inc. for Td Private Client Wealth Llc (registered 2026-06-04)
Form ADVobserved 4 days ago
Occurred
Apr 21, 2026
Advisor changed firm
Ethan Paul Stevenson left First Citizens Investor Services, Inc. for Davenport & Company Llc (registered 2026-05-04)
Form ADVobserved 4 days ago
Occurred
Apr 6, 2026
Advisor changed firm
Matthew John Stork left First Citizens Investor Services, Inc. for Advice And Planning Services (registered 2026-06-25)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2026
Regulatory AUM changed
First Citizens Investor Services, Inc. reported RAUM $2.6B, up 25% from $2.1B (2026-01-27 to 2026-03-31)
Form ADVobserved 4 days ago
$527M
Occurred
Mar 30, 2026
Advisor changed firm
Tanner Hodges left First Citizens Investor Services, Inc. for Captrust (registered 2026-04-20)
Form ADVobserved 4 days ago
Occurred
Mar 19, 2026
Advisor changed firm
Mark Wade Martin left First Citizens Investor Services, Inc. for Credit Union Investment Services (registered 2026-04-14)
Form ADVobserved 4 days ago
Occurred
Mar 11, 2026
Advisor changed firm
Sidney Olayinka left First Citizens Investor Services, Inc. for Cerity Partners Llc (registered 2026-03-13)
Form ADVobserved 4 days ago
Occurred
Feb 27, 2026
Advisor changed firm
Nancy Snow Branham left First Citizens Investor Services, Inc. for Osaic Wealth, Inc. (registered 2026-03-21)
Form ADVobserved 4 days ago
Occurred
Feb 27, 2026
Team lift-out
2 advisors left First Citizens Asset Management, Inc (Sumter, SC) for First Citizens Investor Services, Inc. within 11 days
Form ADVobserved 3 days ago
2 advisors
Occurred
Feb 26, 2026
Team lift-out
2 advisors left First Citizens Investor Services, Inc. (Sumter, SC) for Osaic Wealth, Inc. a day apart
Form ADVobserved 3 days ago
2 advisors
Occurred
Feb 26, 2026
Advisor changed firm
Christopher Cecil Lamb left First Citizens Investor Services, Inc. for Osaic Wealth, Inc. (registered 2026-03-21)
Form ADVobserved 4 days ago
Occurred
Feb 5, 2026
Advisor changed firm
Dasha Renee Coleman left First Citizens Investor Services, Inc. for Advice And Planning Services (registered 2026-02-11)
Form ADVobserved 4 days ago
Occurred
Jan 23, 2026
Advisor changed firm
Ryan Mentnech left First Citizens Investor Services, Inc. for Truist Advisory Services, Inc. (registered 2026-02-11)
Form ADVobserved 4 days ago
Occurred
Jan 20, 2026
Advisor changed firm
Jonathan Daniel Wakin left First Citizens Investor Services, Inc. for Principal Securities, Inc. (registered 2026-01-14)
Form ADVobserved 4 days ago
Occurred
Jan 8, 2026
Advisor changed firm
Jordan Kornegay left First Citizens Investor Services, Inc. for Wells Fargo Advisors (registered 2026-01-12)
Form ADVobserved 4 days ago
Occurred
Dec 9, 2025
Advisor changed firm
Kevin Thomas Brock left First Citizens Investor Services, Inc. for First Citizens Asset Management, Inc (registered 2017-09-06)
Form ADVobserved 4 days ago
Occurred
Dec 4, 2025
Advisor changed firm
Jessie Marie Mccollough left First Citizens Investor Services, Inc. for Morgan Stanley (registered 2026-03-03)
Form ADVobserved 4 days ago
Occurred
Dec 2, 2025
Advisor changed firm
Logan Michael Nickerson left First Citizens Investor Services, Inc. for Principal Asset Management (registered 2025-12-18)
Form ADVobserved 4 days ago
Occurred
Nov 3, 2025
Advisor changed firm
Gustavo Arce left First Citizens Investor Services, Inc. for Lpl Financial Llc (registered 2025-12-11)
Form ADVobserved 4 days ago
Occurred
Oct 30, 2025
Team lift-out
2 advisors left First Citizens Investor Services, Inc. (Pasadena, CA) for LPL Financial LLC within 4 days
Form ADVobserved 3 days ago
2 advisors
Occurred
Oct 30, 2025
Advisor changed firm
Natalya Alexei left First Citizens Investor Services, Inc. for Citigroup Global Markets Inc. (registered 2025-10-31)
Form ADVobserved 4 days ago
Occurred
Oct 30, 2025
Advisor changed firm
Pablo Martin Serna left First Citizens Investor Services, Inc. for Lpl Financial Llc (registered 2025-12-11)
Form ADVobserved 4 days ago
Occurred
Oct 21, 2025
Team lift-out
2 advisors left First Citizens Investor Services, Inc. (Pasadena, CA) for Citigroup Global Markets Inc. within 9 days
Form ADVobserved 3 days ago
2 advisors
Occurred
Oct 21, 2025
Team lift-out
3 advisors left Svb Wealth (San Francisco, CA) for First Citizens Investor Services, Inc. within 9 days
Form ADVobserved 3 days ago
3 advisors
Occurred
Oct 21, 2025
Advisor changed firm
Vishal Wadhwa left First Citizens Investor Services, Inc. for Citigroup Global Markets Inc. (registered 2025-11-04)
Form ADVobserved 4 days ago
Occurred
Oct 20, 2025
Advisor changed firm
George T Ferrel left First Citizens Investor Services, Inc. for Purefi Wealth, Llc (registered 2025-11-04)
Form ADVobserved 4 days ago
Occurred
Oct 16, 2025
Advisor changed firm
Olivia G Swift left First Citizens Investor Services, Inc. for Edward Jones (registered 2025-10-06)
Form ADVobserved 4 days ago

Show 3 bookkeeping events

Occurred
Sep 17, 2026
Michael Thomas Johnson registered as an investment adviser representative at First Citizens Investor Services, Inc.
Occurred
Sep 16, 2026
Eleanor Evangeline Millwood added a GA registration at First Citizens Investor Services, Inc.
Occurred
Sep 15, 2026
Samia Rizk registered as an investment adviser representative at First Citizens Investor Services, Inc.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6eb9366b-c2be-153e-6766-4dd0dd14ad59
First observed: Feb 16, 2012
Last observed: Sep 17, 2026 2 days 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.

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD 44430

RALEIGH, NC

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Search this name across graphsid dfx:ria:6eb9366b-c2be-153e-6766-4dd0dd14ad59

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:06 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DANIEL CLAYTON GRIFFIN

Certified Financial Planner

FAYETTEVILLE, NC

n/a

yes

LAURA CROTTS FRUSHONE

n/a

RALEIGH, NC

n/a

yes

SONYA CROSS WENTZ

n/a

Lawrenceville, VA | Chase City, VA | DANVILLE, VA | Emporia, VA

n/a

yes

KORENE Z. PHILLIPS MARSH

Certified Financial Planner

JACKSONVILLE, NC | Swansboro, NC

yes

RANDY DEAN DRISKILL

n/a

Wilmington, NC

n/a

yes

GREGORY DANA WEISS

n/a

RALEIGH, NC

yes

DAVID MCARTHUR MALLORY

n/a

Raleigh, NC

n/a

yes

THAD EUGENE TUCKER

Certified Financial Planner

Madison, NC | Reidsville, NC | CHARLOTTE, NC | GREENSBORO, NC

yes

SCOTT HARRINGTON ANGEL

Certified Financial Planner

CHARLOTTE, NC | COLUMBIA, SC

n/a

yes

DAN RICHARDSON THOMASON

n/a

RALEIGH, NC | Durham, NC

yes

ANGELA HUGHES SMELCER

n/a

Raleigh, NC | Cary, NC | Washington , PA

yes

JAMIE GAYLE SMOTHERS

Certified Financial Planner

GREENSBORO, NC | CHARLOTTE, NC

yes

THERESA LLOYD HARRIS

n/a

Raleigh, NC

yes

JONATHAN NICHOLAS HOLLIE

n/a

RALEIGH, NC | DANVILLE, VA

n/a

yes

TROY LEE FAIRBANK

n/a

Durham, NC | Chapel Hill, NC | Pittsboro, NC

yes

ERIC BRIAN CANNON

Certified Financial Planner

CHARLOTTE, NC | Hendersonville, NC

n/a

yes

KIMBERLY BASSETT CARPENTER

n/a

ALBEMARLE, NC | CHARLOTTE, NC | Indian Trail, NC

n/a

yes

ASHLEY MOODY GALLION

n/a

CHARLOTTE, NC | MORGANTON, NC

yes

KENNETH HAYES MARSH

Certified Financial Planner

RALEIGH, NC

yes

DAVID WINFIELD MILLER

n/a

Havelock, NC | Newport, NC | Beaufort, NC

yes

THOMAS SANDERLIN OWENS

n/a

CHARLOTTE, NC | Hendersonville, NC

yes

JAY ALLEN WILDERMAN

n/a

Hendersonville, NC | Brevard, NC | MILLS RIVER, NC | CHARLOTTE, NC | Highlands, NC

yes

MARCUS EUGENE ATKINSON

n/a

COLUMBIA, SC | CHARLOTTE, NC

yes

ERNEST L KIEFER

Certified Financial Planner

CHARLOTTE, NC | RALEIGH, NC

yes

ROBERT LEE DICKINSON

Certified Financial Planner

RALEIGH, NC | Rogers, AR

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BILITER, DAVID LEE

DIRECTOR, PRESIDENT

yes

12/2020

May 30, 2026

CECE, MARY

Secretary

yes

04/2025

May 30, 2026

FIRST-CITIZENS BANK & TRUST

100% OWNER

yes

01/1994

May 30, 2026

LONGEST, MICHAEL LEE

DIRECTOR, SENIOR DIRECTOR WEALTH FINANCE & TECHNOLOGY

yes

07/2024

May 30, 2026

MCCALLUM, CHARLES FALCONER III

DIRECTOR, SENIOR DIRECTOR WEALTH RISK & GOVERNANCE

yes

02/2024

May 30, 2026

MEARS, JOHANNA MARIE

CHIEF COMPLIANCE OFFICER

yes

03/2026

May 30, 2026

SHORES, SERINA M.

SENIOR DIRECTOR FCIS COMPLIANCE

yes

05/2025

May 30, 2026

WILSON, MICHAEL CHRISTOPHER

DIRECTOR, WEALTH MANAGEMENT EXECUTIVE

yes

02/2014

May 30, 2026

FIRST CITIZENS BANCSHARES, INC.

Owner

yes

01/1994

Feb 16, 2012

Nov 15, 2024

FIRST-CITIZENS BANK & TRUST COMPANY

100% OWNER

yes

01/1994

Feb 16, 2012

Nov 15, 2024

HARPS, THOMAS BITTENBENDER

DIRECTOR, INTERIM CHIEF COMPLIANCE OFFICER

yes

11/2024

Nov 15, 2024

WALSH, WILLIAM JAMES

DIRECTOR, FIRST CITIZENS OUTSIDE DIRECTOR

yes

02/2024

Feb 28, 2024

Nov 15, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SVB ASSET MANAGEMENT

n/a

Other adviser

$32B

yes

n/a

SVB WEALTH LLC

n/a

Independent wealth

$3.1B

yes

n/a

FIRST CITIZENS INVESTOR SERVICES, INC.

n/a

Bd affiliated wealth

$2.6B

yes

n/a

FIRST CITIZENS INSTITUTIONAL ASSET MANAGEMENT LLC

n/a

Asset manager

$829M

yes

n/a

FIRST CITIZENS ASSET MANAGEMENT, INC

n/a

Bd affiliated wealth

$465M

yes

n/a

FIRST CITIZENS CAPITAL SECURITIES, LLC

n/a

yes

n/a

FIRST-CITIZENS BANK & TRUST COMPANY

n/a

yes

n/a

NEUSE TITLE SERVICES

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Raleigh

United States

yes

Pasadena

United States

yes

Columbia

United States

yes

Columbia

United States

yes

Raleigh

United States

yes

Atlanta

United States

yes

MISSION VIEGO

United States

yes

Jacksonville

United States

yes

Sumter

United States

yes

Arden

United States

yes

Durham

United States

yes

Hendersonville

United States

yes

Wilmington

United States

yes

Irmo

United States

yes

Spartanburg

United States

yes

Richmond

United States

yes

Charlotte

United States

yes

Greensboro

United States

yes

Morganton

United States

yes

Raleigh

United States

yes

Raleigh

United States

yes

WINSTON-SALEM

United States

yes

Charleston

United States

yes

Columbia

United States

yes

Greenville

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 23, 2026

$2.6B

$3.2M

352

164

111

n/a

2024

Mar 29, 2025

$2.1B

322

148

113

n/a

2023

Mar 30, 2024

$1.7B

235

130

107

n/a

2022

Mar 30, 2023

$1.5B

250

138

n/a

2021

Mar 31, 2022

$1.6B

201

107

n/a

2020

Apr 1, 2021

$1.2B

208

110

n/a

2019

Apr 1, 2020

$981M

175

n/a

2018

Mar 29, 2019

$790M

177

n/a

2017

Mar 16, 2018

$732M

153

n/a

2016

Mar 17, 2017

$587M

110

n/a

2015

Mar 28, 2016

$559M

109

n/a

2014

Mar 11, 2015

$569M

104

n/a

2013

Mar 31, 2014

$521M

124

n/a

2012

Feb 11, 2013

$418M

140

120

n/a

2011

Feb 16, 2012

$340M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

8.4%

120

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$2.6B

$2.1B

25.1%

$1.5B

19.8%

352

322

111

113

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OSAIC WEALTH, INC.

Feb 26, 2026

Mar 21, 2026

SUMTER, SC

Team lift out

Ibd to ibd

0.5%

LPL FINANCIAL LLC

Oct 30, 2025

Dec 11, 2025

PASADENA, CA

Team lift out

Ibd to ibd

0.6%

CITIGROUP GLOBAL MARKETS INC.

Oct 21, 2025

Nov 4, 2025

PASADENA, CA

Team lift out

Ibd to ibd

0.6%

FIRST CITIZENS ASSET MANAGEMENT, INC

Oct 13, 2023

Oct 25, 2022

CONCORD, NC

Team lift out

Ibd to RIA

0.8%

WELLS FARGO ADVISORS

Jun 5, 2023

CHARLOTTE, NC

Team lift out

Ibd to wirehouse

0.8%

FIRST CITIZENS ASSET MANAGEMENT, INC

Sep 6, 2022

Mar 23, 2022

RALEIGH, NC

Team lift out

Ibd to RIA

0.9%

J.P. MORGAN SECURITIES LLC

Sep 9, 2020

Dec 22, 2020

RALEIGH, NC

Team lift out

Ibd to wirehouse

1.3%

WELLS FARGO ADVISORS

Apr 30, 2019

May 6, 2019

GREENVILLE, NC

Team lift out

Ibd to wirehouse

1.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FIRST CITIZENS ASSET MANAGEMENT, INC

Feb 27, 2026

May 15, 2017

SUMTER, SC

Team lift out

RIA to ibd

3.4%

SVB WEALTH

Oct 21, 2025

May 29, 2025

SAN FRANCISCO, CA

Team lift out

RIA to ibd

3.8%

WELLS FARGO ADVISORS

Sep 11, 2025

Sep 30, 2025

CHARLOTTE, NC

Team lift out

Wirehouse to ibd

0.0%

TRUIST ADVISORY SERVICES, INC.

Oct 10, 2023

Nov 13, 2023

RALEIGH, NC

Team lift out

Ibd to ibd

0.1%

BANCWEST INVESTMENT SERVICES, INC. (BWIS)

Aug 24, 2023

Nov 16, 2023

OMAHA, NE

Team lift out

Ibd to ibd

11.1%

LPL FINANCIAL LLC

Aug 22, 2022

Aug 30, 2022

FORT MILL, SC

Team lift out

RIA to ibd

0.0%

FIRST CITIZENS ASSET MANAGEMENT, INC

Nov 24, 2020

May 18, 2017

MYRTLE BEACH, SC

Team lift out

RIA to ibd

8.3%

WELLS FARGO ADVISORS

Oct 24, 2019

Oct 28, 2019

PINEHURST, NC

Team lift out

Wirehouse to ibd

0.0%

WELLS FARGO ADVISORS

Jun 18, 2018

Jul 9, 2018

GASTONIA, NC

Team lift out

Wirehouse to ibd

0.0%

FIRST CITIZENS ASSET MANAGEMENT, INC

Dec 31, 2017

May 15, 2017

RALEIGH, NC

Team lift out

Other

6.3%

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

Mar 11, 2016

Apr 12, 2016

RALEIGH, NC

Team lift out

Other

3.0%