Regions Investment Management, Inc

CRD#111715
Investment Advisor Firm

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Learn more about Regions Investment Management, Inc

  • Overview
  • By the Numbers
  • Fee Structure
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Regions Investment Management, Inc is located at 1900 5th Avenue North, Birmingham, AL. The firm employs 25 financial advisors to manage client portfolios and provide financial guidance. Regions Investment Management, Inc is not a registered broker-dealer.

    Regions Investment Management, Inc oversees $17.0 billion in assets under management across 2 accounts, of which 1 is discretionary and 1 is non-discretionary. The services offered include portfolio management for institutional clients. The firm operates on an asset-based fee structure and maintains affiliations with a broker-dealer or securities dealer, a banking or thrift institution, and a pension consultant.

    Regions Investment Management, Inc is registered in the states of Alabama, Arkansas, California, Florida, Georgia, Illinois, Indiana, Iowa, Kentucky, Louisiana, Maryland, Massachusetts, Minnesota, Mississippi, Missouri, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Utah, and Virginia.

    Assets Under Management

    $17.0 billion

    Number of Advisors

    25

    Disclosures

    No

    Office Location

    1900 5Th Avenue North
    Birmingham, AL 35203-2618

    Regions Investment Management, Inc by the Numbers

    Total Assets Under Management

    $17.0 billion

    National Average: $8.6 billion
    Total Number of Employees

    29

    National Average: 64
    Total Number of Accounts

    2

    National Average: 375,227
    Average Account Size

    $8.5 billion

    National Average: $23.0 thousand
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    Fee Structure

    A financial advisor's fees largely are based on the services offered. Fees billed by Regions Investment Management, Inc typically consist of the following fee type: asset-based.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 32% of firms that offer this fee type

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Disclosures

    Regions Investment Management, Inc does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Regions Investment Management, Inc

    Francesca Smitherman
    Birmingham, AL
    Kristie Jones
    Birmingham, AL
    Brian Herron
    Birmingham, AL
    Scott Flurry
    Birmingham, AL

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