← Tributary

OAKWORTH ASSET MANAGEMENT, LLC

BIRMINGHAM, AL · CRD 335388 · IAPD ↗ · oakworth.com · 205-263-4700

$846.3MRegulatory AUM
19Advisory reps
20Employees
10Clients
51-100Planning clients
0Private funds
10States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

70
April 2026 — OAKWORTH ASSET MANAGEMENT, LLC reports 51-100 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
72
April 2026 — OAKWORTH ASSET MANAGEMENT, LLC grew from 15 to 19 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
45
January 2026 — OAKWORTH ASSET MANAGEMENT, LLC notice-filed in MS.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
December 2025 — OAKWORTH ASSET MANAGEMENT, LLC notice-filed in CA, FL, GA, NH, SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
August 2025 — OAKWORTH ASSET MANAGEMENT, LLC (BIRMINGHAM, AL) is newly SEC-registered with $0 RAUM and 15 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.