SourcingSourcing

OAKWORTH ASSET MANAGEMENT, LLC

C43
CRD 335388·SEC 801-132789·BIRMINGHAM, AL
AUM
$846.3M
$500M-$1B
Est. Revenue
$8.5M
@ 1% on AUM
Est. EBITDA
$2.5M
@ 30% margin
Est. Deal Value
$20.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
OAKWORTH ASSET MANAGEMENT, LLC
CRD
335388
SEC file #
801-132789
EIN
—
DBA names
—

Economics

AUM
$846.3M
AUM band
$500M-$1B
AUM trajectory
'25'26
$757.4M → $846.3M▲ +12%
Client mix
Individuals Other373
Individuals High Net Worth166
Corporations26

Operations

Employees (total)
20
Advisory staff (per ADV)
19
Advisory staff (5-yr trend)
'25'26
15 advisors → 19 advisors▲ +27%
Primary office
BIRMINGHAM AL
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
oakworth.com/oakworth-asset-management/advisory-services

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
OAKWORTH CAPITAL BANK INC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
OAKWORTH CAPITAL BANK INC
NORRIS, JOHN, BYRD
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
OAKWORTH.COM
Rdap Domain Creation Date
1997-10-03T04:00:00Z
Rdap Firm Age Years
29
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

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
21
Bc Firm IAR Count
21
Custodian Candidates
Full
E*trade4
Axos Advisor Services2
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-03-25T11:59:59Z
Rdap Domain Last Changed
2026-03-26T12:32:26Z
Rdap Nameservers
Kara.ns.cloudflare.comWill.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
No

People (22)

22
NORRIS, JOHN, BYRD
IAR · Executive Officer · 2.5%
2753475
MICHELLE E. SMITH
Executive Officer · 2.5%
4336289
Ryan Matthew Bernal
IAR
8121684
Christopher Cooper
IAR
6919383
Samuel Reed Clement
IAR
8121197
LEE KIRKLAND BANKS
IAR
4878413
John Thomas Hensley
IAR
8124743
William Alexander
IAR
7536647
Janet Ball
IAR
8121664
DAVID PATRICK MCGRATH
IAR
2653768
Tyler Cofield Busby
IAR
6204010
MATTHEW Craig SATTERFIELD
IAR
6552048
Scott Robinson
IAR
6624413
CLIFTON ANDREW NAIL
IAR
5470689
BARRON BELVIN AKINS
IAR
6343095
WILLIAM MCDOWELL FRASIER
IAR
4882318
Cooper Lee Brown
IAR
7862089
Tracy Hope Harlow
IAR
2629945
SARA JEAN MILDRED VEATCH
IAR
5408258
ASHLEY SUMMERS TABB
IAR
4954982
ROBERT CHARLES MAUND
IAR
2392827
RYAN NEVIN
IAR
7952507