Clients
- Banking or thrift institutions100%
Show client breakdownHide client breakdown
| Client type | Clients | Regulatory AUM | Share | Avg. per client |
|---|---|---|---|---|
| Banking or thrift institutions | Not reported | $20,139,489,452 | 100.0% | — |
| Total | Not reported | $20,139,489,452 | 100% | — |
- Clients
- Not reported
- Regulatory AUM
- $20,139,489,452
- Share
- 100.0%
- Avg. per client
- —
Total
- Clients
- Not reported
- Regulatory AUM
- $20,139,489,452
- Share
- 100%
- Avg. per client
- —
What it does
Regions Investment Management provides portfolio management for institutions. It is paid through a percentage of assets.
Regions Investment Management provided financial planning to 0 clients last fiscal year and advises no private funds.
66.8% of assets ($13.46B across 1 account) are managed with discretion; $6.68B across 1 account is not. 0% of clients are outside the U.S., and 0 clients received advice without assets under management last fiscal year.
What the accounts hold
- Other100%
- We do not have any separately managed accounts. we have one client that is a banking entity for whom we manage their client portfolios.100%
Custodians
Regions Investment Management has custody of client assets.
- All other custodians$20.14B100%
Ownership and leadership
Regions Bank owns 75% or more of Regions Investment Management.
- Owns 75% or more of Regions Investment Management, Inc.
Regions Bank
Control person · since January 2016
- Owns 75% or more of Regions Bank
Regions Financial Corporation
Control person · since February 2012
Leadership
- Samuel McKnightPresident & Chairman, Board of Directors
- Francesca SmithermanSenior Vice President
- Tammy RodenChief Compliance Officer
- John FerrellDirector
- Gregory FirekDirector
- David WrightDirector
Staff
- 28 employees
- 24 in advisory functions
- 4 state-registered reps
- 1 soliciting firm
Fees
Regions Investment Management is paid through a percentage of assets under management.
Regions Investment Management’s fee rates are not included in this profile. Find its brochure on the SEC’s site.
Offices and registrations
Besides its headquarters, Regions Investment Management has 1 office, with 2 listed addresses across 2 states.
Alabama · 1 listed address
- 1900 5th Avenue North, Sixth Floor, BirminghamHQ
Georgia · 1 listed address
- 1180 W. Peachtree ST, NW, Atlanta
Registration details
- Legal name
- Regions Investment Management, Inc.
- Headquarters
- 1900 5th Avenue North, Sixth Floor, Birmingham, AL 35203-2618
- Phone
- 205-326-7074
- Website
- www.regions.com
- SEC file
- 801-27629
- Structure
- Tennessee corporation
- Fiscal year end
- December
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. See this firm's record on adviserinfo.sec.gov
Common questions
What services does Regions Investment Management offer?
Regions Investment Management provides portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How many financial advisors does Regions Investment Management have?
Regions Investment Management has 4 investment adviser representatives registered with state securities authorities, out of 28 employees, and 24 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Regions Investment Management invest in?
At the end of its last fiscal year, Regions Investment Management’s separately managed accounts held 100% we do not have any separately managed accounts. we have one client that is a banking entity for whom we manage their client portfolios.. It advises no private funds of its own.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Regions Investment Management?
Regions Investment Management is owned through a holding company by Regions Financial Corporation. Its direct owner is Regions Bank (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 29 July 2026
How does Regions Investment Management get paid?
Regions Investment Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file