REGENTATLANTIC
REGENTATLANTIC CAPITAL, LLC Legal Name
Adviser information for REGENTATLANTIC last updated from Form ADV on March 27th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 71 |
|---|---|
| Investment Advisory/Research | 45 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 44 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 6 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,111 | $6.2B |
| Non-Discretionary | 20 | $43.9M |
| Total | 2,131 | $6.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 592 | $260.1M |
| HNW Individuals | 1,441 | $5.6B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $35.6M |
| Pension and profit sharing plans | 21 | $16.8M |
| Charitable organizations | 37 | $148.9M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 39 | $129.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 344 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 1000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-17301 |
|---|---|
| SEC ERA File Number | 801-17301 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105995 |
| Legal Entity Identifier | None |
Principal Office
60 COLUMBIA ROADBUILDING A SUITE 300
MORRISTOWN
NJ
United States
Monday - Friday, 9:00 AM TO 4:00 PM
Tel: 973-425-8420, Fax: 973-425-8434
Websites
podcastindex.org/podcast/1320352
www.pandora.com/podcast/dishing-food-stories/pc:41234
www.regentatlantic.com
www.twitter.com/regentatlantic
www.linkedin.com/company/hillview-capital-advisors-llc
www.buzzsprout.com/1384816
open.spotify.com/show/4r0mlf1fk1dxvrqwizonsd
www.iheart.com/podcast/269-dishing-73777108/
feeds.buzzsprout.com/1384816.rss
podcastaddict.com/podcast/3134130
www.facebook.com/regentatlantic/
www.linkedin.com/company/regentatlantic-capital-llc/
www.pinterest.com/regentatlantic
www.hillviewcap.com
player.fm/series/dishing-food-stories
www.youtube.com/channel/uc-ujilzfvff56ezpjldtzoq
podcastindex.org/podcast/1320352
www.listennotes.com/podcasts/dishing-food-stories-david-spungen-ick40j3p2gv/
www.deezer.com/us/show/1863782
www.podchaser.com/podcasts/dishing-food-stories-1496319
www.stitcher.com/show/dishing
Chief Compliance Officer
LARRY NAKAMURA
VP, HEAD OF US COMPLIANCE, CI FINANCIAL
2 S BISCAYNE BLVD
SUITE 3200
MIAMI
FL
United States
Tel:
(305) 781-3040
L********@*****M
(Full email address available in API data)
Regulatory Contact
SCOTT AKINS
GENERAL COUNSEL
2 S BISCAYNE BLVD
SUITE 3200
MIAMI
FL
United States
Tel:
(214) 893-7131
S*****@*****M
(Full email address available in API data)
Industry Affiliates
| CI PRIVATE WEALTH | Other investment adviser, including financial planners |
| INVESTMENT DEALER | Other investment adviser, including financial planners |
| MUTUAL FUNDS DEALR | Other investment adviser, including financial planners |
| PORTFOLIO MANAGEMENT AND EXEMPT MARKET DEALER | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CORDARO, CHRISTOPHER, JOSEPH | Individual | – | BOARD MEMBER | 01/2022 | < 5% |
| PAPADOPOLO, JENNIFER, ERIN | Individual | – | CHIEF OPERATING OFFICER AND BOARD MEMBER | 01/2022 | < 5% |
| STEINER, MICHAEL, RONALD | Individual | – | BOARD MEMBER | 01/2022 | < 5% |
| BEENE, JASON, BRENT | Individual | – | BOARD MEMBER | 01/2022 | < 5% |
| KAZANCHY, BRIAN, HAROLD ALEXANDER | Individual | – | BOARD MEMBER | 01/2022 | < 5% |
| NEWTON, JANE, PALMER | Individual | – | BOARD MEMBER | 01/2022 | < 5% |
| STAPLETON, GEORGE, JOSEPH | Individual | – | CHIEF EXECUTIVE OFFICER AND BOARD MEMBER | 01/2022 | < 5% |
| HOCHBERG, JONATHAN, JAY | Individual | – | BOARD MEMBER | 01/2022 | < 5% |
| CI PRIVATE WEALTH, LLC | Domestic Entity | – | OWNER | 01/2022 | > 75% |
| CIPW HOLDINGS, LLC | Domestic Entity | CI PRIVATE WEALTH, LLC | OWNER | 01/2022 | > 75% |
| CI US HOLDINGS, INC | Domestic Entity | CIPW HOLDINGS, LLC | OWNER | 01/2022 | > 75% |
| CI FINANCIAL CORP | Foreign Entity | CI US HOLDINGS, INC | OWNER | 01/2022 | > 75% |
| PLATKIN, PAUL, STUART | Individual | – | BOARD MEMBER | 01/2022 | < 5% |
| O'BRIEN, CHADDERDON, WARD | Individual | – | BOARD MEMBER | 01/2022 | < 5% |
| NAKAMURA, LARRY, TRISTON | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |