CL
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Firm Information

First Citizens Investor Services, INC.
Compensation
Fee-Only (AUM)
Number of Advisors
379 advisors
Number of Clients
6,706 clients
Average Client Portfolio
$313K average
Assets Under Management
$2.1B

Fee Structure

Minimum Investment:$5K
Financial Planning:Included in AUM fee
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $100K1.30%
$100K - $250K1.20%
$250K - $500K1.05%
$500K - $1.0M0.90%
$1M+0.85%

Fees are negotiable and differ among clients based on several factors.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—

FCIS charges asset-based fees for its services, varying based on the program selected, account size, and overall relationship. The Portfolio Manager Program and First Citizens Wealth Management programs have the same fee schedule. Financial planning is offered on a complimentary basis. Clients are responsible for additional fees like brokerage fees and custodial fees. Tax Aware Services are provided at an additional fee of 0.53% of the assets in the account.

View Full Brochure on SEC
Areas of Practice
Investment ManagementFinancial Planning & CoachingRetirement PlanningTax PlanningEstate Planning

Advisor Information

Office location

2770 Sand Hill Rd., Menlo Park, CA, 94025

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Regulatory History (1)
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Criminal
October 1999
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Carol works as a Relationship Advisor at SVB Wealth LLC, providing wealth management advice to clients since June 2022. This is a full-time position.

Employment History
Current Registrations
First Citizens Investor Services, INC. Broker
December 2023 - Present · 2 yrs 1 mo
Svb Wealth
June 2022 - Present · 3 yrs 7 mos
Previous Registrations
Svb Investment Services INC.
April 2021 - July 2022 · 1 yr 3 mos
Svb Investment Services INC.Broker
February 2021 - December 2023 · 2 yrs 10 mos
State Registrations10 states
AZCACOGAIDILMTTXVAWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.