AdvisorCensus / Financial advisors / Alabama / Mobile / Aull & Monroe
Aull & Monroe
Filed as AULL & MONROE · Legal name Aull & Monroe Investment Management Corp
Aull & Monroe is an SEC-registered investment advisory firm in Mobile, AL, registered since 1990, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 23, 2026.
Quick answers
From the filingHow is Aull & Monroe compensated?
On its Form ADV (Item 5.E, October 2026), Aull & Monroe reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
Where is Aull & Monroe located?
Aull & Monroe's principal office is in Mobile, AL, according to its Form ADV.
Is Aull & Monroe registered with the SEC or a state?
Aull & Monroe is an SEC-registered investment advisory firm, registered since 1990. Status as filed: Approved. CRD 104830.
How much does Aull & Monroe manage?
Aull & Monroe reports $323,170,676 in regulatory assets under management in its Form ADV filing dated March 23, 2026 (100% discretionary).
How have Aull & Monroe's assets and staff changed since 2021?
In the Form ADV data for Aull & Monroe: Regulatory assets under management: $298,095,089 in the October 2021 data and $323,170,676 in the October 2026 data, up 8%. Total employees: 4 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Aull & Monroe serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (121); high net worth individuals (59); pension and profit sharing plans (but not the plan participants or government pension plans) (10).
Which custodians does Aull & Monroe use?
Aull & Monroe's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.
Does Aull & Monroe report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/104830
Does Aull & Monroe state an account minimum?
Its Form ADV Part 2A brochure dated March 23, 2026 says: "Aull & Monroe requires clients to have a minimum investment of $100,000 in assets under management. This may include investments in multiple accounts for individuals or entities." "In addition, Aull & Monroe, at its sole discretion, may make exceptions to the minimum when deemed appropriate."
What changed in Aull & Monroe's recent Form ADV filings?
In the December 2025 filing data: Registered or notice-filed in NE.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAccount minimum: $100,000 (the brochure says it may be waived or negotiated)
The brochure's wording
Aull & Monroe requires clients to have a minimum investment of $100,000 in assets under management. This may include investments in multiple accounts for individuals or entities.
In addition, Aull & Monroe, at its sole discretion, may make exceptions to the minimum when deemed appropriate.
As stated in the firm's Form ADV Part 2A brochure dated March 23, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$323,170,676 as of October 2026, filing dated March 23, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Legal name
- Aull & Monroe Investment Management Corp
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 1990 (36 years)
- Employees
- Total: 5. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
5 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $323,170,676 | 5 | March 23, 2026 |
| October 2025 | $329,144,863 | 3 | May 2, 2025 |
| October 2024 | $329,663,610 | 5 | August 22, 2024 |
| October 2023 | $323,867,936 | 4 | March 23, 2023 |
| October 2022 | $342,759,666 | 4 | March 30, 2022 |
| October 2021 | $298,095,089 | 4 | March 24, 2021 |
Regulatory assets under management: $298,095,089 in the October 2021 data and $323,170,676 in the October 2026 data, up 8%.
Total employees: 4 in October 2021 and 5 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- December 2025
- Registered or notice-filed in NE.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Aull & Monroe (CRD 104830): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/aull-and-monroe-mobile-al-104830