DFX Intelligence
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.
SEC-registered adviser
Regions Investment Management, Inc.
Latest filing Jul 29, 2026
First filing on the tape Jan 31, 2012 · 40 filings
SEC status approved since Aug 15, 1986
RAUM
$20B
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$5.0B
derived; firm RAUM over IAPD count
Employees
28
24 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$20B as of Jul 29, 2026
Mar 29, 2012$10B then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Jul 29, 2026
Mar 29, 20120 then
Employees (5.A)28 as of Jul 29, 2026
Mar 22, 201327 then
Private funds: no history
RAUM +7.6% over the last fiscal year+8.9% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- RAUM per advisor
- $5.0BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $10BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Banks and thrifts$20B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Francesca Allen Smitherman | Birmingham, Al | Jan 16, 2008 | 25 y | 2 |
| Kristie Kostopulos Jones | Birmingham, Al | Jan 18, 2008 | 26 y | 2 |
| Scott Matthew Flurry | Birmingham, Al | Jan 18, 2008 | 27 y | 2 |
| Brian Randall Herron | Birmingham, Al | Jan 18, 2008 | 23 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- John Byrd Norris to Oakworth Asset Management, LLCOct 31, 2018 · Other
- David Patrick Mcgrath to Oakworth Asset Management, LLCFeb 26, 2016 · Other
- Matthew Blake Michaels to Wells Fargo AdvisorsAug 30, 2010 · Other
- Jennifer Baraba Wiechel to Buckingham Strategic Wealth, LLCAug 30, 2010 · Other
- Howard Lawrence Mcelfresh to Td Ameritrade, Inc.Oct 2, 2009 · Other
- Rosa Lares Schulte to Morgan Keegan & Company, LLCDec 31, 2008 · Other
- Geoffrey Ford Kennedy to Securities America Advisors, Inc.Nov 10, 2008 · Other
- Craig S Harris to Morgan StanleyMar 6, 2006 · Other
Joined, latest
- Howard Lawrence Mcelfresh from Amsouth Asset Management, Inc.Jun 25, 2008 · Other
- Matthew Blake Michaels from Amsouth Asset Management, Inc.Apr 23, 2008 · Other
- Kristie Kostopulos Jones from Amsouth Asset Management, Inc.Jan 18, 2008 · Other
- Scott Matthew Flurry from Amsouth Asset Management, Inc.Jan 18, 2008 · Other
- Brian Randall Herron from Amsouth Asset Management, Inc.Jan 18, 2008 · Other
- Geoffrey Ford Kennedy from Amsouth Asset Management, Inc.Jan 18, 2008 · Other
- John Derek Peterson from Amsouth Asset Management, Inc.Jan 18, 2008 · Other
- Jennifer Baraba Wiechel from Amsouth Asset Management, Inc.Jan 18, 2008 · Other
- Francesca Allen Smitherman from Amsouth Asset Management, Inc.Jan 16, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- David John Ferrell · Directorcontrolsince 01/2018 · owns less than 5%
- Thomas Gregory Firek · Directorcontrolsince 08/2017 · owns less than 5%
- Alan Samuel Mcknight · President & Chairman, Board Of Directorscontrolsince 06/2015 · owns less than 5%
- Ridley Tammy Roden · Chief Compliance Officercontrolsince 12/2022 · owns less than 5%
- Allen Francesca Smitherman · Senior Vice Presidentcontrolsince 11/2012 · owns less than 5%
- Brent David Wright · Directorcontrolsince 07/2018 · owns less than 5%
Entity owners
- Regions Bank · Direct Ownerdirect · owns 75% or more
- Regions Financial Corporation · Indirect Ownerindirect · owns 75% or more of Regions Bank · public reporting company
Related persons
Schedule D 7.A
- Blackarch Securities LLCbroker-dealern
- Highland Associates Incinvestment adviserLP sponsornRAUM $21B
- Regions Bankcustodiany
- Regions Financial Corporationy
- Regions Securities LLCbroker-dealern
- Rfc Financial Services Holding LLCn
Advisers that list Regions Investment Management, Inc. as a related person
- 104948 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Birmingham, Al · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA1 employees
What changed
consecutive filings, newest first
- Advisory employees · 23 to 24Oct 10, 2025 to Mar 17, 2026
- Employees · 27 to 28Oct 10, 2025 to Mar 17, 2026
- Discretionary RAUM · $13B to $13BOct 10, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $6.1B to $6.7BOct 10, 2025 to Mar 17, 2026
- RAUM · $19B to $20BOct 10, 2025 to Mar 17, 2026
- Financial planning clients · 0 to 0Jul 16, 2025 to Oct 10, 2025
- Advisory employees · 25 to 23Oct 23, 2024 to Mar 28, 2025
- Employees · 29 to 27Oct 23, 2024 to Mar 28, 2025
- Discretionary RAUM · $12B to $13BOct 23, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $5.4B to $6.1BOct 23, 2024 to Mar 28, 2025
- RAUM · $17B to $19BOct 23, 2024 to Mar 28, 2025
- Discretionary RAUM · $11B to $12BMar 21, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $4.9B to $5.4BMar 21, 2023 to Mar 11, 2024
- RAUM · $16B to $17BMar 21, 2023 to Mar 11, 2024
- Advisory employees · 24 to 25Dec 13, 2022 to Mar 21, 2023
- Employees · 28 to 29Dec 13, 2022 to Mar 21, 2023
- Discretionary RAUM · $10B to $11BDec 13, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $5.6B to $4.9BDec 13, 2022 to Mar 21, 2023
- RAUM · $16B to $16BDec 13, 2022 to Mar 21, 2023
- Advisory employees · 25 to 24Apr 12, 2021 to Mar 16, 2022
- Employees · 29 to 28Apr 12, 2021 to Mar 16, 2022
- Discretionary RAUM · $10B to $10BApr 12, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $4.3B to $5.6BApr 12, 2021 to Mar 16, 2022
- RAUM · $15B to $16BApr 12, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $4.3B to $4.3BMar 18, 2021 to Apr 12, 2021
- RAUM · $15B to $15BMar 18, 2021 to Apr 12, 2021
- Advisory employees · 24 to 25Aug 26, 2020 to Mar 18, 2021
- Employees · 28 to 29Aug 26, 2020 to Mar 18, 2021
- Discretionary RAUM · $10B to $10BAug 26, 2020 to Mar 18, 2021
- Non-discretionary RAUM · $3.9B to $4.3BAug 26, 2020 to Mar 18, 2021
- RAUM · $14B to $15BAug 26, 2020 to Mar 18, 2021
- State-registered IARs · 9 to 4Aug 19, 2019 to Mar 24, 2020
- Discretionary RAUM · $9.0B to $10BAug 19, 2019 to Mar 24, 2020
- Non-discretionary RAUM · $3.2B to $3.9BAug 19, 2019 to Mar 24, 2020
- RAUM · $12B to $14BAug 19, 2019 to Mar 24, 2020
- Advisory employees · 20 to 24Mar 31, 2019 to Aug 19, 2019
- State-registered IARs · 3 to 9Mar 31, 2019 to Aug 19, 2019
- Related adviser · false to trueMar 31, 2019 to Aug 19, 2019
- Advisory employees · 21 to 20Jul 23, 2018 to Mar 31, 2019
- Advisory activities · 2 to 1Jul 23, 2018 to Mar 31, 2019
Signals
8 dated events
- Denise Cynthia Morrison (Chief Compliance Officer) no longer on Schedule A of Regions Investment Management, Inc. (listed 2022-08-31, absent 2022-12-13)Dec 13, 2022 · Control person left · inference
- Lee Tammy Ridley (Chief Compliance Officer) appeared on Schedule A of Regions Investment Management, Inc.Dec 13, 2022 · Control person joined · fact
- Denise Cynthia Morrison (Chief Compliance Officer) appeared on Schedule A of Regions Investment Management, Inc.Aug 31, 2022 · Control person joined · fact
- Denise Cynthia Morrison (Chief Compliance Officer) no longer on Schedule A of Regions Investment Management, Inc. (listed 2020-03-24, absent 2020-08-26)Aug 26, 2020 · Control person left · inference
- Lee Tammy Ridley (Chief Compliance Officer) appeared on Schedule A of Regions Investment Management, Inc.Aug 26, 2020 · Control person joined · fact
- Collins Stuart Compere (Chief Compliance Officer) no longer on Schedule A of Regions Investment Management, Inc. (listed 2019-03-31, absent 2019-08-19)Aug 19, 2019 · Control person left · inference
- Denise Cynthia Morrison (Chief Compliance Officer) appeared on Schedule A of Regions Investment Management, Inc.Aug 19, 2019 · Control person joined · fact
- Regions Investment Management, Inc. reported RAUM $13.2B, up 29% from $10.2B (2017-06-23 to 2018-03-31)Mar 31, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- REGIONS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 205-326-7074reportedpublic record, Form ADV, Jul 29, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $5.0Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026