REGENCY CAPITAL MANAGEMENT INC.
Adviser information for REGENCY CAPITAL MANAGEMENT INC. last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 307 | $279.5M |
| Non-Discretionary | 0 | $0 |
| Total | 307 | $279.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 40 | $51.1M |
| HNW Individuals | 43 | $218.2M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $2.1M |
| Pension and profit sharing plans | <5 | $270,724 |
| Charitable organizations | <5 | $3.0M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $4.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-120277 |
|---|---|
| SEC ERA File Number | 801-120277 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 312435 |
| Legal Entity Identifier | None |
Principal Office
1001 BISHOP STREETSUITE 1090
HONOLULU
HI
United States
Monday - Friday, 8:00AM TO 4:00PM
Tel: 808-451-3193, Fax: 808-465-3822
Chief Compliance Officer
ARTHUR J. MALLET
PRESIDENT AND CHIEF OPERATING OFFICER
1001 BISHOP STREET
SUITE 1090
HONOLULU
HI
United States
Tel:
808-451-3193
Fax:
808-465-3822
A*****@************M
(Full email address available in API data)
Regulatory Contact
NEIL ROSE
CHIEF EXECUTIVE OFFICER
500 WINSLOW WAY E
SUITE 210
BAINBRIDGE ISLAND
WA
United States
Tel:
808-451-3193
Fax:
808-465-3822
N***@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| REGENCY CAPITAL MANAGEMENT FUND LP | Hedge Fund | $2.1M | $1.0M | 4 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| REGENCY ACQUISITIONS LLC | Domestic Entity | – | MEMBER | 12/2020 | > 75% |
| ROSE, NEIL, T. | Individual | – | CEO | 12/2020 | 50-75% |
| MALLET, ARTHUR, JACQUES | Individual | – | PRESIDENT, COO, CCO | 01/2021 | < 5% |
| ROSE, NEIL, TAYLOR | Domestic Entity | REGENCY ACQUISITIONS LLC | MEMBER | 12/2020 | 50-75% |