# Oakworth Asset Management, LLC

> Oakworth Asset Management, LLC is an SEC-registered investment advisory firm in Birmingham, AL, registered since 2025, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 27, 2026.

- CRD: 335388
- Filed as: OAKWORTH ASSET MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Birmingham, AL
- Filing period: October 2026
- Form ADV filing dated: March 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/335388
- AdvisorCensus page: https://advisorcensus.com/firm/oakworth-asset-management-llc-birmingham-al-335388

## Quick answers

**How is Oakworth Asset Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Oakworth Asset Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Oakworth Asset Management, LLC located?**
Oakworth Asset Management, LLC's principal office is in Birmingham, AL, according to its Form ADV; the April 2026 filing also lists 3 other offices (Schedule D, Section 1.F).

**Is Oakworth Asset Management, LLC registered with the SEC or a state?**
Oakworth Asset Management, LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 335388.

**How much does Oakworth Asset Management, LLC manage?**
Oakworth Asset Management, LLC reports $846,327,168 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary).

**How have Oakworth Asset Management, LLC's assets and staff changed since 2025?**
In the Form ADV data for Oakworth Asset Management, LLC: Regulatory assets under management: $0 in the October 2025 data and $846,327,168 in the October 2026 data. Total employees: 15 in October 2025 and 20 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Oakworth Asset Management, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (373); high net worth individuals (166); corporations or other businesses not listed above (26).

**Which custodians does Oakworth Asset Management, LLC use?**
Oakworth Asset Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Axos Clearing LLC and Oakworthcapital Bank (affiliated with the firm) as custodians holding 10% or more of its separately managed account assets.

**Does Oakworth Asset Management, LLC 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/335388

**What changed in Oakworth Asset Management, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $757,410,003 to $846,327,168 (+12%). Employees performing advisory functions went from 15 to 19.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Axos Clearing LLC
- Oakworthcapital Bank (affiliated with the firm)

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.

### Regulatory assets under management (Item 5.F)
- Total: $846,327,168
- Discretionary: $846,327,168
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 373 | $171,399,818 |
| High net worth individuals | 166 | $540,164,883 |
| Corporations or other businesses not listed above | 26 | $134,762,467 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2025 (1 year)
- Employees: 20 total, 19 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL, CA, FL, GA, LA, MS, NC, NH, TN, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Brentwood, TN
- Charlotte, NC
- Mobile, AL

### Websites listed on Form ADV (Item 1.I)
- oakworth.com/oakworth-asset-management/advisory-services

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $0 | 15 | July 1, 2025 |
| October 2026 | $846,327,168 | 20 | March 27, 2026 |

Regulatory assets under management: $0 in the October 2025 data and $846,327,168 in the October 2026 data.
Total employees: 15 in October 2025 and 20 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $757,410,003 to $846,327,168 (+12%).
- Employees performing advisory functions went from 15 to 19.

### March 2026
- Updated its list of owners and control persons (Schedule A).

### January 2026
- Registered or notice-filed in MS.
- No longer registered or notice-filed in SC.

### December 2025
- Regulatory assets under management went from $0 to $757,410,003.
- Registered or notice-filed in CA, FL, GA, NH, SC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Oakworth Asset Management, LLC (CRD 335388): Form ADV filing data as of October 2026.