Regal Investment Advisors LLC
Firm details
- Headquarters
- Kentwood, Michigan
- CRD number
- 125004
- Registered since
- October 19, 2010
- Website
- regalria.com
- Custodians
- FIDELITY DISTRIBUTORS COMPANY LLC, CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees, Other
- Client types
- Individuals55.37%
- HNWI39.67%
- Pension & Profit Sharing Plans4.42%
- Corporations / Businesses0.5%
- Charitable Organizations0.03%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops
Firm profile
FINTRXOverview
Regal Investment Advisors LLC is an independent, SEC-registered registered investment adviser that has operated since 2010. The firm serves both individual/family and institutional clients and functions as a capital allocator that hires outside fund managers. Its advisory offerings include financial planning, portfolio management for individuals, small businesses and institutions, pension consulting, manager selection, and educational workshops. Regal also operates as an insurance broker and maintains affiliations with a broker-dealer and an insurance company. The firm uses a mix of fee structures (percentage of AUM, hourly, fixed fees and other arrangements) and does not identify as an active ESG investor. FA Magazine included the firm in a Top RIA Firms list in 2020.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities68%
- Public Funds/Mutual Funds22%
- Cash & Cash Equivalents5%
- State & Local Bonds2%
- Derivatives2%
Owners & executives
3 of 9
Russell Smith
President, CEOCRD 1124019
William Best
Chief Operating OfficerCRD 6801123
Michael Barron
CFO and Financial AdvisorCRD 7366649
Contacts
3 of 115
Terry Hollar
Registered RepresentativeCRD 1584024
Jamison Sanders
Financial Advisor AssistantCRD 8089874
Scott Flynn
Investment Advisor RepresentativeCRD 3150308
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 475Active vs passive
$1.6B in ETFs
81%
$1.3B
13%
$311M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES CORE S&P 500 ETF (IVV) | BlackRock | Passive | Large Blend | $126M | 168,826 | 7.89% |
Location
Kentwood, MI
Kent
Location
Kentwood, MI
Headquartered in Kentwood, MI, anchoring the Grand Rapids-Kentwood-Muskegon, MI metro in the Midwest.
- Metro area
- Grand Rapids-Kentwood-Muskegon, MI
- Region
- Midwest
- County
- Kent
- Address
- 2687 44th St Se
- Time zone
- ET (UTC-5)
- Office locations
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