Leavell Investment Management, Inc. (Mobile)


Leavell Investment Management, Inc. is a large advisory firm based in Mobile. It manages $1.61 billion of regulatory assets for 1,528 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Alabama, Florida, Georgia, and 6 other states.

Leavell Investment Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, and education to participants of consulting and advised retirement plans. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Leavell Investment Management: assets under management

The assets under management (AUM) of Leavell Investment Management, Inc. is $1.61 billion. The firm's AUM has grown by 86% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.48 billion in discretionary accounts and $129.33 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $988.79 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $4.62 million.
Leavell Investment Management has custody of $724.65 million in cash and securities for 655 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 55% of the total AUM. The second-largest asset type is investment and business development companies, which make up 26% of the firm’s portfolio. Investments in state and local bonds form 15% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Leavell Investment Management, Inc. for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Andrew A Saunders serves?

The firm provides services to individuals, investment companies, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Andrew A Saunders is high net worth individuals with 250 clients and $753.09 million of assets under management. Among the 9 most similar advisory firms, Leavell Investment Management has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $1.48 billion for 1,500 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.

Leavell Investment Management doesn't advise any private funds.

Careers at Leavell Investment Management, Inc.

The company employs 25 people that are either part- or full-time employees. 72 percent of the employees work as investment advisers or researchers. 18 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 compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Andrew A Saunders has been acting as President since 1 Apr 2006. William Kelly Nicrosi joined the executive team most recently as the Vice President / Shareholder.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Thomas Wayne Leavell Chairman of the board / shareholder / director / executive committee 1 Jul 1979 Other 2298076
Timothy Seale Healey Vice president / cio / shareholder / director / executive committee 1 Jul 2004 Other 2306714
Janet Riddle Hayes Coo / vice president / shareholder / director / executive committee 1 Jul 2004 Other 2739602
Margaret H. Alves Chief compliance officer / shareholder / secretary 1 Feb 2006 Other 5110344
Andrew A Saunders Director 1 Apr 2006 Other 5293644
Janet Riddle Hayes Vice president / coo / cmo / shareholder class b/ director / executive committee 1 Sep 2006 Other 2739602
Michael Clay Teel Vice president / shareholder / director 1 Dec 2006 Other 3120622
Mary Shannon Hope Vice president / shareholder 1 Dec 2006 Other 4811732
Richard Eland Anthony Vice president / shareholder 1 Dec 2006 Other 4592145
Richard Moore Stimpson Vice president / shareholder / director 1 Dec 2006 Other 1714381
Michael John Hofto Vice president / cfo / shareholder / treasurer / director 1 Sep 2007 Other 1347940
John Miles Williams Vice president / shareholder 1 Dec 2008 Other 1447299
Eugene Andrews Grinstead President / ceo / shareholder 1 Jan 2014 Other 2785040
William Kelly Nicrosi Vice president / shareholder 1 Jul 2014 Other 3225136

Based in Mobile

The principal office where Leavell Investment Management, Inc. performs its advisory services is located at 210 Saint Joseph Street, Mobile, AL 36602 The mailing address of the firm is 210 Saint Joseph Street, Mobile, AL 36602. An additional office of the firm is in Birmingham, AL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 251-433-3709 or by fax 251-433-3723. The normal business hours are 8:30 - 4:30 on Monday - Friday. You can find more information about the New York firm at leavellinvestments.com.