SourcingSourcing

REGIONS INVESTMENT MANAGEMENT, INC.

C24
CRD 111715·SEC 801-27629·BIRMINGHAM, AL
AUM
$20.14B
$1B+
Est. Revenue
$201.4M
@ 1% on AUM
Est. EBITDA
$60.4M
@ 30% margin
Est. Deal Value
$483.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
REGIONS INVESTMENT MANAGEMENT, INC.
CRD
111715
SEC file #
801-27629
EIN
—
DBA names
—

Economics

AUM
$20.14B
AUM band
$1B+
AUM trajectory
'20'26
$12.23B → $20.14B▲ +65%
Client mix
—

Operations

Employees (total)
28
Advisory staff (per ADV)
24
Advisory staff (5-yr trend)
'20'26
24 advisors → 24 advisors▬ 0%
Primary office
BIRMINGHAM AL
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/17/2026
ADV-W filed at
—
Website
regions.com

Compliance

Disclosures (firm)
8
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
REGIONS BANK
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
7
Control Persons
REGIONS BANK
Ferrell, John, David
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
REGIONS.COM
Rdap Domain Creation Date
2000-04-13T11:12:37Z
Rdap Firm Age Years
26
Rdap Firm Age Band
20+y
Rdap Registrar
CSC Corporate Domains, Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001281761
Edgar Registered
Yes
Edgar Filing Count
1,001
Edgar First Filing Date
2018-04-03
Edgar Last Filing Date
2026-05-18
Edgar 13f Count
34
Edgar 13f Latest AUM Estimate
Filing Date2026-05-05
Accession0001281761-26-000033
Edgar Xbrl Assets Latest
Value Usd158,814,000,000
Fiscal Year End2025-12-31
Edgar Sic Description
National Commercial Banks
Edgar Former Names
NEW REGIONS FINANCIAL CORP

Compliance & brand

Firm Registration Status
active

All other collected signals (18)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
1900 FIFTH AVENUE NORTHBIRMINGHAM, AL 35203
Business
1900 FIFTH AVENUE NORTHBIRMINGHAM, AL 35203
Edgar EIN
630589368
Edgar Recent Filings
1442026-05-18 · 0001957799-26-000084
42026-05-13 · 0001262116-26-000008
Edgar Sic
6021
Fee Schedule
Bracket Xii100
Bracket I0
Bracket Ii0
Bracket Iii0
Bracket Iv0
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-10-13T14:08:21Z
Rdap Domain Last Changed
2025-10-09T05:07:28Z
Rdap Nameservers
Ns0048.secondary.cloudflare.comNs0158.secondary.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer ProhibitedServer Delete ProhibitedServer Transfer ProhibitedServer Update Prohibited
Trust Company Affiliate
No

People (9)

9
SMITHERMAN, FRANCESCA, ALLEN
IAR · Executive Officer · 2.5%
2904466
Ferrell, John, David
Executive Officer · 2.5%
6930591
FIREK, GREGORY, THOMAS
Executive Officer · 2.5%
2584584
MCKNIGHT, SAMUEL, ALAN
Executive Officer · 2.5%
2696823
RODEN, TAMMY, RIDLEY
Executive Officer · 2.5%
1613745
WRIGHT, DAVID, BRENT
Executive Officer · 2.5%
4377302
SCOTT MATTHEW FLURRY
IAR
4411703
BRIAN RANDALL HERRON
IAR
4604554
KRISTIE KOSTOPULOS JONES
IAR
4154426