# Regions Investment Management, Inc.

> Regions Investment Management, Inc. is an SEC-registered investment advisory firm in Birmingham, AL, registered since 1986, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated July 29, 2026.

- CRD: 111715
- Filed as: REGIONS INVESTMENT MANAGEMENT, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Birmingham, AL
- Filing period: October 2026
- Form ADV filing dated: July 29, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/111715
- AdvisorCensus page: https://advisorcensus.com/firm/regions-investment-management-inc-birmingham-al-111715

## Quick answers

**How is Regions Investment Management, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Regions Investment Management, Inc. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Regions Investment Management, Inc. located?**
Regions Investment Management, Inc.'s principal office is in Birmingham, AL, according to its Form ADV; the August 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Regions Investment Management, Inc. registered with the SEC or a state?**
Regions Investment Management, Inc. is an SEC-registered investment advisory firm, registered since 1986. Status as filed: Approved. CRD 111715.

**How much does Regions Investment Management, Inc. manage?**
Regions Investment Management, Inc. reports $20,139,489,452 in regulatory assets under management in its Form ADV filing dated July 29, 2026 (67% discretionary).

**How have Regions Investment Management, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Regions Investment Management, Inc.: Regulatory assets under management: $14,536,312,448 in the October 2021 data and $20,139,489,452 in the October 2026 data, up 39%. Total employees: 29 in October 2021 and 28 in October 2026. Assets under management move with markets as well as with clients coming and going.

**Does Regions Investment Management, Inc. report any disciplinary disclosures?**
Reports 9 disclosure items on Form ADV Item 11: yes answers to 9 questions about regulatory matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.D(5), 11.E(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/111715

**What changed in Regions Investment Management, Inc.'s recent Form ADV filings?**
In the August 2026 filing data: Item 11 disclosure answers changed: 9 yes answers, previously 8 (now yes: 11.E(2)).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $20,139,489,452
- Discretionary: $13,457,373,988
- Non-discretionary: $6,682,115,464

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Banking or thrift institutions | Fewer than 5 | $20,139,489,452 |

### Advisory services (Item 5.G)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 1986 (40 years)
- Employees: 28 total, 24 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL, AR, CA, FL, GA, IA, IL, IN, KY, LA, MA, MD, MN, MO, MS, NC, NH, NJ, NY, PA, SC, TN, TX, UT, VA
- Disclosures (Item 11): Reports 9 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/111715

### Other offices (Schedule D, Section 1.F), as of the August 2026 filing
- Atlanta, GA

### Websites listed on Form ADV (Item 1.I)
- [regions.com](https://regions.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $14,536,312,448 | 29 | April 12, 2021 |
| October 2022 | $15,658,845,432 | 28 | August 31, 2022 |
| October 2023 | $15,576,353,344 | 29 | March 21, 2023 |
| October 2024 | $16,990,335,269 | 29 | March 11, 2024 |
| October 2025 | $18,723,692,464 | 27 | July 16, 2025 |
| October 2026 | $20,139,489,452 | 28 | July 29, 2026 |

Regulatory assets under management: $14,536,312,448 in the October 2021 data and $20,139,489,452 in the October 2026 data, up 39%.
Total employees: 29 in October 2021 and 28 in October 2026.

## Changes in the filing (last 12 months)

### August 2026
- Item 11 disclosure answers changed: 9 yes answers, previously 8 (now yes: 11.E(2)).

### April 2026
- Employees performing advisory functions went from 23 to 24.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Regions Investment Management, Inc. (CRD 111715): Form ADV filing data as of October 2026.