ONEASCENT FAMILY OFFICES
ONEASCENT FAMILY OFFICE LLC Legal Name
Adviser information for ONEASCENT FAMILY OFFICES last updated from Form ADV on March 14th, 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 | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 97 | $91.9M |
| Non-Discretionary | 1 | $1.8M |
| Total | 98 | $93.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $1.9M |
| HNW Individuals | 20 | $91.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| 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 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesFAMILY OFFICE SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agentAccountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-126924 |
|---|---|
| SEC ERA File Number | 801-126924 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 323305 |
| Legal Entity Identifier | None |
Principal Office
23 INVERNESS CENTER PARKWAYBIRMINGHAM
AL
United States
Monday - Friday, 8:00 AM - 5:00PM
Tel: (205) 313-9142, Fax: None
Chief Compliance Officer
THOMAS JAMES CLAUD III
23 INVERNESS CENTER PARKWAY
BIRMINGHAM
AL
United States
Tel:
2058471343
T*****@************M
(Full email address available in API data)
Regulatory Contact
ROB GRUBB
CHIEF OPERATING OFFICER
23 INVERNESS CENTER PARKWAY
BIRMINGHAM
AL
United States
Tel:
2058471343
R*****@************M
(Full email address available in API data)
Industry Affiliates
| ONEASCENT CAPITAL | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ONEASCENT FINANCIAL SERVICES LLC | Other investment adviser, including financial planners |
| ONEASCENT INVESTMENT SOLUTIONS, 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 |
|---|---|---|---|---|---|
| ONEASCENT HOLDINGS LLC | Domestic Entity | – | OWNER | 10/2022 | > 75% |
| PEARSON, HARRY, NOBLE | Individual | – | MANAGING MEMBER | 10/2022 | < 5% |
| Grubb, Robert, Wayne | Individual | – | CHIEF OPERATING OFFICER | 10/2022 | < 5% |
| CLAUD, THOMAS, JAMES | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2022 | < 5% |
| PEARSON, HARRY, NOBLE | Individual | ONEASCENT HOLDINGS LLC | MANAGING MEMBER | 10/2022 | > 75% |