{"url":"https://nivawealth.com/firms/regions-investment-management-111715","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/111715","regulatoryAum":20139489452,"crd":"111715","secFileNumber":"801-27629","legalName":"Regions Investment Management, Inc.","displayName":"Regions Investment Management","website":"http://www.regions.com","founded":null,"organization":"Tennessee corporation","fiscalYearEnd":"December","headquarters":{"street":"1900 5th Avenue North, Sixth Floor","city":"Birmingham","state":"AL","stateName":"Alabama","country":"United States","postalCode":"35203-2618"},"tradeNames":[],"registration":{"secApproved":"15 August 1986","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":28,"advisory":24,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"discretionary":13457373988,"discretionaryAccounts":1,"nonDiscretionary":6682115464,"nonDiscretionaryAccounts":1,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Banking or thrift institutions","clients":null,"regulatoryAum":20139489452}],"fees":[],"feeNotes":[],"custodians":[],"custodyNote":"Regions Investment Management has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Samuel McKnight","title":"President & Chairman, Board of Directors","crd":"2696823"},{"name":"Francesca Smitherman","title":"Senior Vice President","crd":"2904466"},{"name":"Tammy Roden","title":"Chief Compliance Officer","crd":"1613745"},{"name":"John Ferrell","title":"Director","crd":"6930591"},{"name":"Gregory Firek","title":"Director","crd":"2584584"},{"name":"David Wright","title":"Director","crd":"4377302"}],"ownership":[{"label":"Regions Bank","detail":"Direct owner in the 75% or more ownership band and a control person, since January 2016."},{"label":"Regions Financial Corporation","detail":"Indirect owner: a indirect owner of Regions Bank in the 75% or more band and a control person, since February 2012.","parent":"Regions Bank"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"officesByState":[{"state":"Alabama","offices":1,"addresses":[{"street":"1900 5th Avenue North, Sixth Floor","city":"Birmingham","headquarters":true}]},{"state":"Georgia","offices":1,"addresses":[{"street":"1180 W. Peachtree ST, NW","city":"Atlanta"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"205-326-7074","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"Other","percent":100,"detail":"We Do Not Have Any Separately Managed Accounts.  We Have One Client That Is A Banking Entity for Whom We Manage Their Client Portfolios."}],"privateFunds":0},"sources":{"adv1FilingDate":"29 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/111715/PDF/111715.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"What services does Regions Investment Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Regions Investment Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Regions Investment Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Regions Investment Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Regions Investment Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}