Chief Compliance Officer · Oneascent Investment Solutions, LLC
Ashleigh C. Swayze
CRD 4632543 · Named on Form ADV at 14 SEC-registered advisers
At a glance
Oneascent Investment Solutions, LLC, an SEC-registered asset manager based in Birmingham, AL with $987 million in regulatory assets, lists Ashleigh C. Swayze on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Ashleigh at 13 other registered advisers.
Firms and roles
- Oneascent Investment Solutions, LLCChief Compliance OfficerAsset manager · Birmingham, AL · $987M in regulatory assets
- WellfullChief Compliance OfficerWealth manager · Harleysville, PA · $866M in regulatory assets
- Investment Research PartnersChief Compliance OfficerAsset manager · Lemont, PA · $512M in regulatory assets
- Carnegie Lake Advisors LLCChief Compliance OfficerWealth manager · Princeton, NJ · $403M in regulatory assets
- Patron Partners, LLCChief Compliance OfficerWealth manager · Houston, TX · $326M in regulatory assets
- Financial Strategies GroupChief Compliance OfficerWealth manager · Fargo, ND · $189M in regulatory assets
- The Quick Group LLCChief Compliance OfficerWealth manager · New York, NY · $111M in regulatory assets
- Rooted Financial Group, LLCChief Compliance OfficerWealth manager · Tigard, OR · $109M in regulatory assets
- Arrowhead Investment Management LLCChief Compliance OfficerPrivate fund adviser · White Plains, NY · $78M in regulatory assets
- Oneascent CapitalChief Compliance OfficerAsset manager · Birmingham, AL · $56M in regulatory assets
- Tribridge Partners Financial LLCChief Compliance OfficerAsset manager · Columbia, MD · $1.6B in regulatory assets
- Avail Investment Partners, LLCCCOWealth manager · Lemont, PA · $184M in regulatory assets
- Camelot Event-Driven Advisors, LLCCCOAsset manager · Maumee, OH · $108M in regulatory assets
- Strategence Capital LLCChief Compliance OfficerAsset manager · Van Wert, OH · $0M in regulatory assets
AtlasMembers
Ashleigh’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 14 firmsLocked
- Control-person status
- 10 firmsLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
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Colleagues named on the same filings (32)
- Harry N. PearsonManaging Member, Oneascent Investment Solutions, LLC
- Robert W. GrubbChief Operating Officer, Oneascent Investment Solutions, LLC
- Coleman J. PearsonPresident, Oneascent Investment Solutions, LLC
- Nicholas A. BernardoManaging Partner, Wellfull
- Tiffany A. BenfieldChief Operating Officer, Wellfull
27 more people named with Ashleigh on the same filings, with titles and firms. Free in Atlas with a free account.
See all 32 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Ashleigh’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.