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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 10b 100b

REGIONS INVESTMENT MANAGEMENT, INC.

CRD 111715

BIRMINGHAM, AL

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:35467a47-345a-2253-4301-882e0708d4e4

Data as of Jul 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 8
On other graphs: 0
Observed: Jan 31, 2012 to Jul 29, 2026
40 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: other adviserderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $20BItem 5.F on the latest filing (2026-07-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $13B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $5.0Bderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 28
Advisory employees: 24
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 2
SEC number: 801-27629
CIK: 1082809
CRD: 111715
Filings on the tape: 40
First filed: Jan 31, 2012
Latest filed: Jul 29, 2026
Organised: Corporation, TN
Website: regions.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
FRANCESCA ALLEN SMITHERMAN	n/a	BIRMINGHAM, AL	18	25	2	no
KRISTIE KOSTOPULOS JONES	n/a	BIRMINGHAM, AL	18	26	2	no
SCOTT MATTHEW FLURRY	n/a	BIRMINGHAM, AL	18	27	2	no
BRIAN RANDALL HERRON	n/a	BIRMINGHAM, AL	18	23	2	no

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
Ferrell, John, David	Director	Na	yes	01/2018	Mar 31, 2018	Oct 23, 2024
FIREK, GREGORY, THOMAS	Director	Na	yes	08/2017	Mar 31, 2018	Oct 23, 2024
MCKNIGHT, SAMUEL, ALAN	PRESIDENT & CHAIRMAN, BOARD OF DIRECTORS	Na	yes	06/2015	Dec 7, 2015	Oct 23, 2024
REGIONS BANK	DIRECT OWNER	E	yes	01/2016	Jan 29, 2016	Oct 23, 2024
REGIONS FINANCIAL CORPORATION	INDIRECT OWNER	E	yes	02/2012	Jan 31, 2012	Oct 23, 2024
RODEN, TAMMY, RIDLEY	CHIEF COMPLIANCE OFFICER	Na	yes	12/2022	Aug 26, 2020	Oct 23, 2024
SMITHERMAN, FRANCESCA, ALLEN	SENIOR VICE PRESIDENT	Na	yes	11/2012	Mar 22, 2013	Oct 23, 2024
WRIGHT, DAVID, BRENT	Director	Na	yes	07/2018	Jul 23, 2018	Oct 23, 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
HIGHLAND ASSOCIATES INC	n/a	Other adviser	$21B	N	yes	n/a
BLACKARCH SECURITIES LLC	n/a	n/a	n/a	N	yes	n/a
REGIONS BANK	n/a	n/a	n/a	Y	yes	Al
REGIONS FINANCIAL CORPORATION	n/a	n/a	n/a	Y	yes	n/a
REGIONS SECURITIES LLC	n/a	n/a	n/a	N	yes	n/a
RFC FINANCIAL SERVICES HOLDING LLC	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
Atlanta	Ga	United States	1	no

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
2025	Mar 17, 2026	$20B	$13B	28	24	1	n/a	n/a
2024	Mar 28, 2025	$19B	$13B	27	23	1	n/a	n/a
2023	Mar 11, 2024	$17B	$12B	29	25	1	n/a	n/a
2022	Mar 21, 2023	$16B	$11B	29	25	1	n/a	n/a
2021	Mar 16, 2022	$16B	$10B	28	24	1	n/a	n/a
2020	Mar 18, 2021	$15B	$10B	29	25	1	n/a	n/a
2019	Mar 24, 2020	$14B	$10B	28	24	1	n/a	n/a
2018	Mar 31, 2019	$12B	$9.0B	28	20	1	n/a	n/a
2017	Mar 31, 2018	$13B	$5.1B	27	21	1	n/a	n/a
2016	Mar 30, 2017	$10B	$4.7B	29	24	n/a	n/a	n/a
2015	Jan 29, 2016	$9.7B	$4.5B	27	24	n/a	n/a	n/a
2014	Mar 25, 2015	$9.7B	$4.8B	27	24	n/a	n/a	n/a
2013	Mar 27, 2014	$9.3B	$4.7B	27	24	n/a	n/a	n/a
2012	Mar 22, 2013	$9.3B	$5.4B	27	27	n/a	n/a	n/a
2011	Mar 29, 2012	$10B	$10B	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
0	0	0	0.0%	0	0	0	0	0

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	$20B	$19B	7.6%	$16B	8.9%	28	27	1	1

Relationships

Affiliated with (2)

→ HIGHLAND ASSOCIATES INCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
← HIGHLAND ASSOCIATES INCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (13)

← KRISTIE KOSTOPULOS JONESAdvisorregistration: current employment
Jan 18, 2008 to presentfactForm ADV
← SCOTT MATTHEW FLURRYAdvisorregistration: current employment
Jan 18, 2008 to presentfactForm ADV
← BRIAN RANDALL HERRONAdvisorregistration: current employment
Jan 18, 2008 to presentfactForm ADV
← FRANCESCA ALLEN SMITHERMANAdvisorregistration: current employment
Jan 16, 2008 to presentfactForm ADV
← JOHN BYRD NORRISAdvisorregistration: previous registration
Nov 13, 2002 to Oct 31, 2018factForm ADV
← JOHN DEREK PETERSONAdvisorregistration: previous registration
Jan 18, 2008 to Oct 31, 2018factForm ADV
← DAVID PATRICK MCGRATHAdvisorregistration: previous registration
Nov 13, 2002 to Feb 26, 2016factForm ADV
← MATTHEW BLAKE MICHAELSAdvisorregistration: previous registration
Apr 23, 2008 to Aug 30, 2010factForm ADV
← JENNIFER BARABA WIECHELAdvisorregistration: previous registration
Jan 18, 2008 to Aug 30, 2010factForm ADV
← HOWARD LAWRENCE MCELFRESHAdvisorregistration: previous registration
Jun 25, 2008 to Oct 2, 2009factForm ADV
← ROSA LARES SCHULTEAdvisorregistration: previous registration
Jul 16, 2001 to Dec 31, 2008factForm ADV
← GEOFFREY FORD KENNEDYAdvisorregistration: previous registration
Jan 18, 2008 to Nov 10, 2008factForm ADV
← Craig S HarrisAdvisorregistration: previous registration
Nov 6, 2002 to Mar 6, 2006factForm ADV

Controls (8)

← RODEN, TAMMY, RIDLEYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 26, 2020 to Oct 23, 2024factForm ADV
← FIREK, GREGORY, THOMASOwnerDIRECTOR, ownership code NA, individual
Mar 31, 2018 to Oct 23, 2024factForm ADV
← MCKNIGHT, SAMUEL, ALANOwnerPRESIDENT & CHAIRMAN, BOARD OF DIRECTORS, ownership code NA, individual
Dec 7, 2015 to Oct 23, 2024factForm ADV
← SMITHERMAN, FRANCESCA, ALLENOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 22, 2013 to Oct 23, 2024factForm ADV
← WRIGHT, DAVID, BRENTOwnerDIRECTOR, ownership code NA, individual
Jul 23, 2018 to Oct 23, 2024factForm ADV
← Ferrell, John, DavidOwnerDIRECTOR, ownership code NA, individual
Mar 31, 2018 to Oct 23, 2024factForm ADV
← REGIONS BANKOwnerDIRECT OWNER, ownership code E, domestic entity
Jan 29, 2016 to Oct 23, 2024factForm ADV
← REGIONS FINANCIAL CORPORATIONOwnerINDIRECT OWNER, ownership code E, domestic entity
Jan 31, 2012 to Oct 23, 2024factForm ADV

Dated events

Occurred
Dec 13, 2022
Control person left
Denise Cynthia Morrison (Chief Compliance Officer) no longer on Schedule A of Regions Investment Management, Inc. (listed 2022-08-31, absent 2022-12-13)
Form ADVobserved 6 days ago
Occurred
Dec 13, 2022
Control person joined
Lee Tammy Ridley (Chief Compliance Officer) appeared on Schedule A of Regions Investment Management, Inc.
Form ADVobserved 6 days ago
Occurred
Aug 31, 2022
Control person joined
Denise Cynthia Morrison (Chief Compliance Officer) appeared on Schedule A of Regions Investment Management, Inc.
Form ADVobserved 6 days ago
Occurred
Aug 26, 2020
Control person left
Denise Cynthia Morrison (Chief Compliance Officer) no longer on Schedule A of Regions Investment Management, Inc. (listed 2020-03-24, absent 2020-08-26)
Form ADVobserved 6 days ago
Occurred
Aug 26, 2020
Control person joined
Lee Tammy Ridley (Chief Compliance Officer) appeared on Schedule A of Regions Investment Management, Inc.
Form ADVobserved 6 days ago
Occurred
Aug 19, 2019
Control person left
Collins Stuart Compere (Chief Compliance Officer) no longer on Schedule A of Regions Investment Management, Inc. (listed 2019-03-31, absent 2019-08-19)
Form ADVobserved 6 days ago
Occurred
Aug 19, 2019
Control person joined
Denise Cynthia Morrison (Chief Compliance Officer) appeared on Schedule A of Regions Investment Management, Inc.
Form ADVobserved 6 days ago
Occurred
Mar 31, 2018
Regulatory AUM changed
Regions Investment Management, Inc. reported RAUM $13.2B, up 29% from $10.2B (2017-06-23 to 2018-03-31)
Form ADVobserved 6 days ago
$3.0B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:35467a47-345a-2253-4301-882e0708d4e4
First observed: Jan 31, 2012
Last observed: Jul 29, 2026 54 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.

REGIONS INVESTMENT MANAGEMENT, INC.

CRD 111715

BIRMINGHAM, AL

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:35467a47-345a-2253-4301-882e0708d4e4

Data as of Jul 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:13 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

FRANCESCA ALLEN SMITHERMAN

n/a

BIRMINGHAM, AL

KRISTIE KOSTOPULOS JONES

n/a

BIRMINGHAM, AL

SCOTT MATTHEW FLURRY

n/a

BIRMINGHAM, AL

BRIAN RANDALL HERRON

n/a

BIRMINGHAM, AL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Ferrell, John, David

Director

yes

01/2018

Mar 31, 2018

Oct 23, 2024

FIREK, GREGORY, THOMAS

Director

yes

08/2017

Mar 31, 2018

Oct 23, 2024

MCKNIGHT, SAMUEL, ALAN

PRESIDENT & CHAIRMAN, BOARD OF DIRECTORS

yes

06/2015

Dec 7, 2015

Oct 23, 2024

REGIONS BANK

DIRECT OWNER

yes

01/2016

Jan 29, 2016

Oct 23, 2024

REGIONS FINANCIAL CORPORATION

INDIRECT OWNER

yes

02/2012

Jan 31, 2012

Oct 23, 2024

RODEN, TAMMY, RIDLEY

CHIEF COMPLIANCE OFFICER

yes

12/2022

Aug 26, 2020

Oct 23, 2024

SMITHERMAN, FRANCESCA, ALLEN

SENIOR VICE PRESIDENT

yes

11/2012

Mar 22, 2013

Oct 23, 2024

WRIGHT, DAVID, BRENT

Director

yes

07/2018

Jul 23, 2018

Oct 23, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HIGHLAND ASSOCIATES INC

n/a

Other adviser

$21B

yes

n/a

BLACKARCH SECURITIES LLC

n/a

yes

n/a

REGIONS BANK

n/a

yes

REGIONS FINANCIAL CORPORATION

n/a

yes

n/a

REGIONS SECURITIES LLC

n/a

yes

n/a

RFC FINANCIAL SERVICES HOLDING LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Atlanta

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 17, 2026

$20B

$13B

n/a

2024

Mar 28, 2025

$19B

$13B

n/a

2023

Mar 11, 2024

$17B

$12B

n/a

2022

Mar 21, 2023

$16B

$11B

n/a

2021

Mar 16, 2022

$16B

$10B

n/a

2020

Mar 18, 2021

$15B

$10B

n/a

2019

Mar 24, 2020

$14B

$10B

n/a

2018

Mar 31, 2019

$12B

$9.0B

n/a

2017

Mar 31, 2018

$13B

$5.1B

n/a

2016

Mar 30, 2017

$10B

$4.7B

n/a

2015

Jan 29, 2016

$9.7B

$4.5B

n/a

2014

Mar 25, 2015

$9.7B

$4.8B

n/a

2013

Mar 27, 2014

$9.3B

$4.7B

n/a

2012

Mar 22, 2013

$9.3B

$5.4B

n/a

2011

Mar 29, 2012

$10B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$20B

$19B

7.6%

$16B

8.9%