First Citizens Investor Services, Inc.

Registered investment adviser · Raleigh, NC · CRD #44430

Form ADV data as of 2026-09-01

Regulatory assets

$2.63 billion

Total accounts

7,645

Employees

352

Disclosure events

Firm details

Website: https://www.firstcitizens.com/wealth
Telephone: 800-229-0205
SEC file number: 801-57302
Most recent Form ADV filing: 2026-05-30
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 5 disclosure questions answered Yes, covering 6 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a false statement or omission
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a violation of investment-related regulations or statutes

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$3.2 million
Non-discretionary regulatory assets under management	$2.62 billion
Total regulatory assets under management	$2.63 billion
Discretionary accounts	11
Non-discretionary accounts	7,634
Total accounts	7,645
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	352
Employees performing investment advisory functions (including research)	164
Employees who are registered representatives of a broker-dealer	351
Employees registered as investment adviser representatives with a state	352
Employees registered as IARs for another investment adviser	49
Employees who are licensed insurance agents	301
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$158.5 million
Clients for whom the firm has custody	194
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under management

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshops

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agent

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Banking or thrift institutionInsurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	6,918	$1.59 billion
High net worth individuals	645	$1.02 billion
Corporations or other businesses not listed above	82	$20.4 million