Domestic entity
EntityREGIONS BANKStatusINDIRECT OWNERReported since02/2012Ownership75% or moreControl personYes
Regions Investment Management, Inc.
BIRMINGHAM, AL
Form ADV and provider website profile · CRD 111715 · regulatory data as of Jul 29, 2026
This profile compiles reported firm AUM, regulatory account counts, ownership information, and source-linked regulatory records for Regions Investment Management, Inc.. Firm-wide values may include business beyond OCIO services; review the linked filing before relying on a claim. How to interpret OCIO Intelligence data.
$20.1BReported Firm AUMReported Firm AUMTotal assets under management reported for the registered advisory firm. This may include businesses beyond its OCIO services.
2Total AccountsTotal AccountsTotal regulatory accounts reported in Form ADV Item 5.F. This is not necessarily the number of OCIO mandates or unique clients.
$13.5BDiscretionary AUMDiscretionary AUMFirm assets reported as discretionary, where the adviser generally has authority to make investment decisions within the client mandate.
$6.7BNon-discretionary AUMNon-discretionary AUMFirm assets reported as non-discretionary, where the client generally retains final investment decision authority.
Direct Owners & Executives
Source: Form ADV- Reported since
- 11/2012
- Type
- Individual
- Control person
- Yes
- Ownership
- Less than 5%
- Reported since
- 06/2015
- Type
- Individual
- Control person
- Yes
- Ownership
- Less than 5%
- Reported since
- 01/2016
- Type
- Domestic entity
- Control person
- Yes
- Ownership
- 75% or more
- Reported since
- 08/2017
- Type
- Individual
- Control person
- Yes
- Ownership
- Less than 5%
- Reported since
- 01/2018
- Type
- Individual
- Control person
- Yes
- Ownership
- Less than 5%
- Reported since
- 07/2018
- Type
- Individual
- Control person
- Yes
- Ownership
- Less than 5%
- Reported since
- 12/2022
- Type
- Individual
- Control person
- Yes
- Ownership
- Less than 5%
| Name | Title | Reported since | Type | Control person | Ownership |
|---|---|---|---|---|---|
| Francesca Allen Smitherman | Senior Vice President | 11/2012 | Individual | Yes | Less than 5% |
| Samuel Alan Mcknight | President & Chairman, Board Of Directors | 06/2015 | Individual | Yes | Less than 5% |
| Regions Bank | Direct Owner | 01/2016 | Domestic entity | Yes | 75% or more |
| Gregory Thomas Firek | Director | 08/2017 | Individual | Yes | Less than 5% |
| John David Ferrell | Director | 01/2018 | Individual | Yes | Less than 5% |
| David Brent Wright | Director | 07/2018 | Individual | Yes | Less than 5% |
| Tammy Ridley Roden | Chief Compliance Officer | 12/2022 | Individual | Yes | Less than 5% |
Indirect Ownership
Source: Form ADVOwners & Executives
Source: Form ADVFA
Francesca Allen Smitherman
Senior Vice President
SA
Samuel Alan Mcknight
President & Chairman, Board Of Directors
GT
Gregory Thomas Firek
Director
JD
John David Ferrell
Director
DB
David Brent Wright
Director
TR
Tammy Ridley Roden
Chief Compliance Officer
Names and titles are shown as reported in Form ADV.
Ownership & Governance
Direct owners & executives7
Indirect ownership records1
Regulatory statusSEC registered investment adviser
SEC registration dateAug 15, 1986
CRD number111715