ONEASCENT INVESTMENT SOLUTIONS, LLC
Adviser information for ONEASCENT INVESTMENT SOLUTIONS, LLC last updated from Form ADV on March 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 11 | $457.2M |
| Non-Discretionary | 0 | $0 |
| Total | 11 | $457.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $1.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 4 | $353.7M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 5 | $101.8M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-110054 |
|---|---|
| SEC ERA File Number | 801-110054 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285512 |
| Legal Entity Identifier | None |
Principal Office
23 IVERNESS PARKWAYSUITE 100
BIRMINGHAM
AL
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 2053139142, Fax: None
Chief Compliance Officer
ASHLEIGH SWAYZE
5 INDEPENDENCE WAY
SUITE 300
PRINCETON
NJ
United States
Tel:
12053139142
I***@************M
(Full email address available in API data)
Regulatory Contact
ROBERT GRUBB
COO
23 IVERNESS PARKWAY
SUITE 100
BIRMINGHAM
AL
United States
Tel:
2053139142
R*****@************M
(Full email address available in API data)
Industry Affiliates
| ONEASCENT CAPITAL | Other investment adviser, including financial planners |
| ONEASCENT FAMILY OFFICES | Other investment adviser, including financial planners |
| ONEASCENT FINANCIAL SERVICES LLC | Other investment adviser, including financial planners |
| ONEASCENT WEALTH MANAGEMENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SWAYZE, ASHLEIGH, COOPER | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2017 | < 5% |
| ONEASCENT HOLDINGS, LLC | Domestic Entity | – | MANAGING MEMBER | 02/2017 | > 75% |
| PEARSON, HARRY, NOBLE | Individual | ONEASCENT HOLDINGS, LLC | OWNER | 02/2016 | > 75% |
| PEARSON, HARRY, NOBLE | Individual | – | MANAGING MEMBER | 02/2017 | < 5% |
| Grubb, Robert, Wayne | Individual | – | CHIEF OPERATING OFFICER | 02/2017 | < 5% |
| Pearson, Coleman, James | Individual | – | PRESIDENT | 01/2022 | < 5% |