ONEASCENT CAPITAL LLC of BIRMINGHAM, AL is an SEC-registered investment adviser (CRD 323220). Regulatory assets under management: $55.6M.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Harry Noble Pearson | MANAGING MEMBER; OWNER | Birmingham, AL |
| Robert Wayne Grubb | CHIEF OPERATING OFFICER | — |
| Ashleigh Cooper Swayze | CHIEF COMPLIANCE OFFICER | — |
| Coleman James Pearson | PRESIDENT | — |
| SWAYZE ASHLEIGH COOPER | CHIEF COMPLIANCE OFFICER | — |
| PEARSON RONALD JAMES | PRESIDENT | — |
| PEARSON HARRY NOBLE | MANAGING MEMBER; OWNER | — |
| Grubb Robert Wayne | CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-04-16 | regulatory | IN 2017, OUR CHIEF COMPLIANCE OFFICER, ASHLEIGH SWAYZE, SIGNED A CONSENT ORDER WITH THE CONNECTICUT DEPARTMENT OF BANKING AND INSURANCE. THE UNDERLYING MATTER INVOLVED A CLIENT OF MS. SWAYZE'S THAT FAILED TO REGISTER AS AN INVESTMENT ADVISER REPRESENTATIVE IN CONNECTICUT. THE STATE FELT THAT MS. SWA… | Final | $10K |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| ONEASCENT CAPITAL IMPACT FUND I LP | Other Private Fund | Delaware | 59 | $19.3M | $500K |
| OAC EVERGREEN, LLC | Other Private Fund | Delaware | 11 | $4.8M | $500K |