REGENCY CAPITAL MANAGEMENT INC.

RIASEC RegisteredEst. 2021

Total AUM

$364M

Discretionary

$364M

100% of AUM

Avg account

$981K

Accounts

371

Employees

Advisory reps

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 independent SEC-registered investment adviser (registered in 2021) that manages portfolios for both individual/family clients and institutional entities. The firm charges fees based on a percentage of assets under management and offers comprehensive advisory services, including financial planning and portfolio management for individuals, small businesses, pooled investment vehicles, and institutions. Governance structure is a domestic entity with individual ownership. Regency appears equity-oriented in its investment posture and does not identify as an active ESG investor. It is not positioned as a capital allocator to external managers but does operate and advise at least one private fund (see Investments & Alternatives). The adviser is not primarily a pension consultant or a multi-state adviser.