RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Teams that joined First Citizens Investor Services, Inc.
A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 2 | First Citizens Asset Management, Inc mixed wealth | First Citizens Investor Services, Inc. BD affiliated | Sumter, Sc | RIA to affiliated broker-dealer or bank | Feb 27, 2026 over 11 d |
| 3 | Svb Wealth independent RIA | First Citizens Investor Services, Inc. BD affiliated | San Francisco, Ca +1 | RIA to affiliated broker-dealer or bank | Oct 21, 2025 over 9 d |
| 2 | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. BD affiliated | Charlotte, Nc +1 | Wirehouse to affiliated broker-dealer or bank | Sep 11, 2025 over 6 d |
| 2 | Truist Advisory Services, Inc. BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Raleigh, Nc +1 | Affiliated broker-dealer or bank to another | Oct 10, 2023 |
| 2 | Bancwest Investment Services, Inc. (Bwis) BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Omaha, Ne | Affiliated broker-dealer or bank to another | Aug 24, 2023 |
| 2 | LPL Financial LLC independent RIA | First Citizens Investor Services, Inc. BD affiliated | Fort Mill, Sc | RIA to affiliated broker-dealer or bank | Aug 22, 2022 |
| 3 | First Citizens Asset Management, Inc independent RIA | First Citizens Investor Services, Inc. BD affiliated | Myrtle Beach, Sc +2 | RIA to affiliated broker-dealer or bank | Nov 24, 2020 over 13 d |
| 2 | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. BD affiliated | Pinehurst, Nc +1 | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2019 over 11 d |
| 2 | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. BD affiliated | Gastonia, Nc +1 | Wirehouse to affiliated broker-dealer or bank | Jun 18, 2018 over 8 d |
| 2 | First Citizens Asset Management, Inc other | First Citizens Investor Services, Inc. other | Raleigh, Nc | Other | Dec 31, 2017 |
| 2 | Capital Investment Advisory Services, LLC other | First Citizens Investor Services, Inc. other | Raleigh, Nc | Other | Mar 11, 2016 over 12 d |