Regency Capital Management Inc.

RIASEC RegisteredEst. 2021

Total AUM

$364M

Discretionary

$364M

100% of AUM

Avg account

$981K

Accounts

371

Employees

5

Advisory reps

3

Firm details

Headquarters: Honolulu, Hawaii
CRD number: 312435
Registered since: February 4, 2021
Website: regencycm.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM
Client types: HNWI89.57%
Individuals4.88%
Corporations / Businesses2.34%
Pooled Investment Vehicles1.45%
Charitable Organizations1.09%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Regency Capital Management Inc. is an SEC-registered independent RIA that began registration in 2021 and charges clients on a percentage-of-AUM basis. The firm serves individual and family clients as well as institutional accounts and offers financial planning alongside discretionary portfolio management for individuals, small businesses, pooled investment vehicles, and institutional/business clients. Regency does not self-identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities55%
US Government Bonds18%
Public Funds/Mutual Funds13%
Investment Grade Corp Bonds11%
Cash & Cash Equivalents3%

Owners & executives

2 of 2

Neil Rose
Chief Executive OfficerCRD 4629568
Arthur Mallet
President, Chief Operating OfficerCRD 4981263

Contacts

1 of 1

Kawika Shoji
Financial AdvisorCRD 7619349

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 21

Active vs passive

$47.5M in ETFs

Passive

100%

$47.5M

Active

0%

$0

ETF	Provider	Style	Category	Value	Shares	% of portfolio
ISHARES GOLD TRUST (IAU)	BlackRock	Passive	Commodities Focused	$13.4M	177,738	28.26%

Unlock additional holdings →

Primary office

Honolulu, HI

Honolulu

Location

Honolulu, HI

Headquartered in Honolulu, HI, in the West of the United States.

Region: West
County: Honolulu
Address: 1001 Bishop St
Time zone: HT (UTC-10)
Office locations

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