Oneascent Financial Services LLC (Birmingham)


Oneascent Financial Services LLC is a large advisory firm based in Birmingham. It manages $278.89 million of regulatory assets for 1,653 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of Alabama, California, Florida, and 10 other states.

Oneascent Financial Services provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, and educational seminars and workshops. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Oneascent Financial Services: assets under management

The assets under management (AUM) of Oneascent Financial Services LLC is $278.89 million. The firm's AUM has grown by 40% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $278.45 million in discretionary accounts and $432.88 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $169.79 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $33.3 thousand.
Oneascent Financial Services has custody of $158.2 million in cash and securities for 432 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 73% of the total AUM. The second-largest asset type is government bonds, which make up 12% of the firm’s portfolio. Investments in cash and cash equivalents form 9% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Oneascent Financial Services LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Oneascent Financial Services serves?

The firm provides services to individuals, charitable organizations, and high net worth individuals. The largest group of clients of Oneascent Financial Services is individuals with 555 clients and $133.67 million of assets under management. Among the 12 most similar advisory firms, Oneascent Financial Services has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $268.2 million for 668 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Oneascent Financial Services doesn't advise any private funds.

Careers at Oneascent Financial Services LLC

The company employs 22 people that are either part- or full-time employees. 82 percent of the employees work as investment advisers or researchers. 15 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Llc Camelot Portfolios Member 1 Aug 2016 25% - 50% 145918
Ashleigh Cooper Swayze Chief compliance officer 1 Aug 2016 Other 4632543
Ryan Deane Zeeb Managing member 1 Aug 2016 75% - 100% 5969856
Darren Thaddaeus Munn Managing member 1 Sep 2016 75% - 100% 3100611
Oneascent Holdings Llc Owner 1 Feb 2017 75% - 100% 81-2083188
Ashleigh Cooper Swayze Chief compliance officer 1 Feb 2017 Other 4632543
Robert Wayne Grubb Chief operating officer 1 Feb 2017 Other 6618081

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Darren Thaddaeus Munn Ceo/managing member 1 Jan 2006 75% - 100% 3100611
Robert Wayne Grubb Chief operating officer 1 Feb 2016 Other 6618081
Darren Thaddaeus Munn Owner 1 Feb 2017 75% - 100% 3100611
Harry Noble Pearson Owner 1 Feb 2017 50% - 75% 2847191
Llc Camelot Portfolios Owner 1 Feb 2017 25% - 50% 145918
Jeffrey Paul Rogers Owner 1 Feb 2017 Other 2332472

Based in Birmingham

The principal office where Oneascent Financial Services LLC performs its advisory services is located at 23 Inverness Parkway, Birmingham, AL 35242, which is also the mailing address of the firm. An additional office of the firm is in Akron, OH. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 205-313-9142. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday.