Hedge Fund Database

REGATTA CAPITAL GROUP, LLC

Adviser information for REGATTA CAPITAL GROUP, LLC last updated from Form ADV on March 28th, 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 Limited Liability Company
Fiscal Year End DECEMBER
Legal Location California, United States

Employees

Total Number of Employees 16
Investment Advisory/Research 14
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 13
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 3,206 $982.2M
Non-Discretionary 176 $180.4M
Total 3,382 $1.2B

Clients

Type Number RAUM
Individuals 582 $143.6M
HNW Individuals 429 $837.2M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 2 $11.2M
Pension and profit sharing plans 46 $146.7M
Charitable organizations 8 $17.8M
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 5 $6.1M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
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 servicesCOACHING SERVICES
Compensation % of AUMHourly chargesFixed feesPerformance-based fees

Identifiers

SEC RIA File Number 801-68490
SEC ERA File Number 801-68490
SEC CIK Numbers 1911488
SEC CRD Numbers 145363
Legal Entity Identifier None

Principal Office

880 APOLLO ST.
SUITE 129
EL SEGUNDO
CA
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 310-725-9102, Fax: 310-725-9158

Websites

www.regattainvest.com www.linkedin.com/company/regatta-capital-group/ twitter.com/regattacapital www.instagram.com/regattacapitalgroup/?hl=en www.facebook.com/regattacapitalgroup www.youtube.com/@regattacapitalgroup6379

Chief Compliance Officer

RUSSELL R. MOHBERG
CO-FOUNDER & PARTNER
880 APOLLO ST.
SUITE 129
EL SEGUNDO
CA
United States
Tel: 310-725-9102
Fax: 310-725-9158
(Full email address available in API data)

Industry Affiliates

REGATTA VENTURES FUND I GP, LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
REGATTA VENTURES EPIC SPV, LLC Venture Capital Fund $1.2M $0.1M 22
REGATTA VENTURES FUND I, LP Venture Capital Fund $10.1M $0.1M 160

Control Persons

Name Type Entity Title Since Ownership
MOHBERG, RUSSELL, RALPH Individual – MANAGING MEMBER, CO-FOUNDER, PARTNER, AND CHIEF COMPLIANCE OFFICER 09/2007 25-50%
KELLY, SPENCER, SOUTHARD Individual – PRINCIPAL, MANAGING MEMBER, CO-FOUNDER, PARTNER, AND HEAD OF ADVISORY SERVICES 04/2008 25-50%
OZER, NICHOLAS, KELLY Individual – PARTNER, FINANCIAL ADVISOR, AND DIRECTOR OF RETIREMENT PLANS 05/2015 5-10%
JOYCE, BRITT, MORGAN Individual – CO-CIO & DIRECTOR OF ENDOWMENTS & FOUNDATIONS 01/2023 5-10%

No. Employees, Historic

20100201920202021202220232024202511 on 4/23/201911 on 11/13/201912 on 2/7/202012 on 6/17/202012 on 8/3/202012 on 8/25/202012 on 9/3/202012 on 9/22/202012 on 10/1/202012 on 11/16/202012 on 12/1/202012 on 3/26/202112 on 5/19/202112 on 6/9/202112 on 7/9/202112 on 8/13/202112 on 10/11/202112 on 11/22/202115 on 3/28/202215 on 5/27/202215 on 6/3/202215 on 6/9/202215 on 9/9/202215 on 9/13/202215 on 9/16/202215 on 11/30/202215 on 12/12/202217 on 3/29/202317 on 4/12/202317 on 4/13/202317 on 4/24/202317 on 4/25/202317 on 7/27/202317 on 10/24/202317 on 10/24/202316 on 3/28/2024

RAUM, Historic

2B1B02019202020212022202320242025323677040 on 4/23/2019323677040 on 11/13/2019487137820 on 2/7/2020487137820 on 6/17/2020487137820 on 8/3/2020487137820 on 8/25/2020487137820 on 9/3/2020487137820 on 9/22/2020487137820 on 10/1/2020487137820 on 11/16/2020487137820 on 12/1/2020682661004 on 3/26/2021682661004 on 5/19/2021682661004 on 6/9/2021682661004 on 7/9/2021682661004 on 8/13/2021682661004 on 10/11/2021682661004 on 11/22/2021918575685 on 3/28/2022906869912 on 5/27/2022906869912 on 6/3/2022906869912 on 6/9/2022906869912 on 9/9/2022906869912 on 9/13/2022906869912 on 9/16/2022906869912 on 11/30/2022906869912 on 12/12/2022931428315 on 3/29/20231017962240 on 4/12/20231017962240 on 4/13/20231017962240 on 4/24/20231017962240 on 4/25/20231017962240 on 7/27/20231017962240 on 10/24/20231017962240 on 10/24/20231162612228 on 3/28/2024

No. Clients, Historic

2,0001,00002019202020212022202320242025631 on 4/23/2019631 on 11/13/2019698 on 2/7/2020698 on 6/17/2020698 on 8/3/2020698 on 8/25/2020698 on 9/3/2020698 on 9/22/2020698 on 10/1/2020698 on 11/16/2020698 on 12/1/2020782 on 3/26/2021782 on 5/19/2021782 on 6/9/2021782 on 7/9/2021782 on 8/13/2021782 on 10/11/2021782 on 11/22/2021927 on 3/28/2022926 on 5/27/2022926 on 6/3/2022926 on 6/9/2022926 on 9/9/2022926 on 9/13/2022926 on 9/16/2022926 on 11/30/2022926 on 12/12/2022999 on 3/29/20231023 on 4/12/20231023 on 4/13/20231023 on 4/24/20231023 on 4/25/20231023 on 7/27/20231023 on 10/24/20231023 on 10/24/20231072 on 3/28/2024

Holdings

From latest 13F, filed August 2nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 1M 10K –
ABBOTT LABS COM 447K 4K –
ABBVIE INC COM 2M 12K –
ADOBE INC COM 317K 570 –
ADVANCED MICRO DEVICES INC COM 3M 20K –
AIRBNB INC COM CL A 3M 19K –
ALBEMARLE CORP COM 273K 3K –
ALPHABET INC CAP STK CL A 12M 67K –
ALPHABET INC CAP STK CL C 3M 15K –
AMAZON COM INC COM 12M 62K –
AMERICAN CENTY ETF TR AVANTIS CORE FI 15M 368K –
AMERICAN CENTY ETF TR US EQT ETF 8M 86K –
AMERICAN CENTY ETF TR US SML CP VALU 11M 121K –
AMERICAN EXPRESS CO COM 578K 2K –
AMGEN INC COM 2M 6K –
ANALOG DEVICES INC COM 261K 1K –
APPLE INC COM 27M 129K –
AT&T INC COM 3M 146K –
BALLYS CORPORATION COM 734K 61K –
BANK AMERICA CORP COM 504K 13K –
BANK NEW YORK MELLON CORP COM 209K 3K –
BECTON DICKINSON & CO COM 249K 1K –
BERKSHIRE HATHAWAY INC DEL CL A 612K 1 –
BERKSHIRE HATHAWAY INC DEL CL B NEW 8M 21K –
BLACKROCK CALIF MUN INCOME T SH BEN INT 615K 51K –
BLACKROCK MUNIASSETS FD INC COM 2M 199K –
BLACKROCK MUNIVEST FD INC COM 196K 27K –
BLACKROCK MUNIYIELD FD INC COM 122K 11K –
BLACKROCK MUNIYILD QULT FD I COM 457K 37K –
BLACKSTONE INC COM 495K 4K –
BOEING CO COM 1M 6K –
BOOKING HOLDINGS INC COM 3M 868 –
BRIGHTSPIRE CAPITAL INC COM CL A 379K 67K –
BRISTOL-MYERS SQUIBB CO COM 253K 6K –
BROADCOM INC COM 4M 2K –
CADENCE DESIGN SYSTEM INC COM 770K 3K –
CAPITAL ONE FINL CORP COM 1M 8K –
CARLYLE GROUP INC COM 207K 5K –
CARMAX INC COM 330K 4K –
CATERPILLAR INC COM 417K 1K –
CENCORA INC COM 2M 9K –
CHEVRON CORP NEW COM 783K 5K –
CION INVT CORP COM 187K 15K –
CISCO SYS INC COM 321K 7K –
COCA COLA CO COM 2M 36K –
COMCAST CORP NEW CL A 429K 11K –
CONOCOPHILLIPS COM 311K 3K –
CONSTELLATION BRANDS INC CL A 226K 879 –
COSTAR GROUP INC COM 865K 12K –
COSTCO WHSL CORP NEW COM 5M 5K –
CVS HEALTH CORP COM 367K 6K –
DIAGEO PLC SPON ADR NEW 312K 2K –
DISNEY WALT CO COM 4M 37K –
EATON VANCE CALIF MUN BD FD COM 515K 54K –
ECOLAB INC COM 247K 1K –
ELEVANCE HEALTH INC COM 423K 781 –
ELI LILLY & CO COM 799K 882 –
ENBRIDGE INC COM 447K 13K –
EXXON MOBIL CORP COM 962K 8K –
FEDEX CORP COM 551K 2K –
FIDELITY MERRIMACK STR TR TOTAL BD ETF 602K 13K –
FIDELITY WISE ORIGIN BITCOIN SHS 322K 6K –
FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 8M 139K –
FORD MTR CO DEL COM 176K 14K –
FS KKR CAP CORP COM 591K 30K –
GLOBAL X FDS GLOBAL X URANIUM 346K 12K –
GOLDMAN SACHS GROUP INC COM 530K 1K –
GRUPO TELEVISA S A B SPON ADR REP ORD 49K 18K –
GUGGENHEIM TAXABLE MUNICP BO COM 1M 70K –
GUIDEWIRE SOFTWARE INC COM 586K 4K –
HOME DEPOT INC COM 1M 3K –
HONEYWELL INTL INC COM 317K 1K –
INTEL CORP COM 221K 7K –
INTUIT COM 1M 2K –
INVESCO EXCH TRADED FD TR II SR LN ETF 246K 12K –
INVESCO QQQ TR UNIT SER 1 923K 2K –
IQVIA HLDGS INC COM 451K 2K –
ISHARES GOLD TR ISHARES NEW 1M 24K –
ISHARES INC ESG AWR MSCI EM 874K 26K –
ISHARES TR 10-20 YR TRS ETF 17M 163K –
ISHARES TR 3 7 YR TREAS BD 2M 16K –
ISHARES TR BLACKROCK ULTRA 254K 5K –
ISHARES TR CORE MSCI EAFE 554K 8K –
ISHARES TR CORE MSCI TOTAL 13M 189K –
ISHARES TR CORE S&P MCP ETF 2M 33K –
ISHARES TR CORE S&P SCP ETF 2M 17K –
ISHARES TR CORE S&P TTL STK 34M 290K –
ISHARES TR CORE S&P500 ETF 493K 901 –
ISHARES TR ESG AW MSCI EAFE 1M 14K –
ISHARES TR ESG AWARE MSCI 3M 81K –
ISHARES TR ESG AWRE 1 5 YR 2M 73K –
ISHARES TR ESG EAFE ETF 2M 33K –
ISHARES TR ESG MSCI USA ETF 3M 74K –
ISHARES TR ESG SCRD S&P MID 290K 7K –
ISHARES TR GLOBAL REIT ETF 238K 10K –
ISHARES TR ISHS 1-5YR INVS 231K 5K –
ISHARES TR MSCI ACWI ETF 491K 4K –
ISHARES TR MSCI GBL SUS DEV 983K 13K –
ISHARES TR MSCI USA QLT FCT 14M 83K –
ISHARES TR NATIONAL MUN ETF 213K 2K –
ISHARES TR S&P 500 GRWT ETF 279K 3K –
ISHARES TR S&P 500 VAL ETF 431K 2K –
ISHARES TR SELECT DIVID ETF 439K 4K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 721K 14K –
JOHNSON & JOHNSON COM 908K 6K –
JPMORGAN CHASE & CO. COM 4M 20K –
LAM RESEARCH CORP COM 878K 824 –
LINDE PLC SHS 409K 931 –
LKQ CORP COM 773K 19K –
LOCKHEED MARTIN CORP COM 226K 484 –
MASTERCARD INCORPORATED CL A 1M 3K –
MCDONALDS CORP COM 2M 10K –
MCKESSON CORP COM 296K 506 –
MEDTRONIC PLC SHS 2M 21K –
MERCADOLIBRE INC COM 425K 259 –
MERCK & CO INC COM 540K 4K –
META PLATFORMS INC CL A 11M 21K –
MGM RESORTS INTERNATIONAL COM 793K 18K –
MICROSOFT CORP COM 10M 22K –
MODIV INDUSTRIAL INC COM STK CL C 171K 12K –
NETFLIX INC COM 3M 4K –
NEXTERA ENERGY INC COM 226K 3K –
NIKE INC CL B 2M 30K –
NORFOLK SOUTHN CORP COM 340K 2K –
NOVARTIS AG SPONSORED ADR 477K 4K –
NUSHARES ETF TR NUVEEN ESG LRGVL 5M 133K –
NUSHARES ETF TR NUVEEN ESG MIDVL 1M 41K –
NUVEEN CA QUALTY MUN INCOME COM 2M 211K –
NUVEEN CALIFORNIA AMT QLT MU COM 3M 216K –
NUVEEN CALIFORNIA MUNI VLU F COM STK 1M 137K –
NUVEEN DYNAMIC MUN OPPORTUNI COM SHS 1M 102K –
NUVEEN MUN HIGH INCOME OPPOR COM 1M 112K –
NVIDIA CORPORATION COM 7M 58K –
OCCIDENTAL PETE CORP COM 209K 3K –
ORACLE CORP COM 1M 8K –
PEPSICO INC COM 2M 10K –
PFIZER INC COM 363K 13K –
PGIM ETF TR PGIM ULTRA SH BD 796K 16K –
PIMCO CALIF MUN INCOME FD COM 141K 15K –
PIMCO ETF TR ENHAN SHRT MA AC 1M 12K –
POWERSHARES ACTIVELY MANAGED ULTRA SHRT DUR 580K 12K –
PROCTER AND GAMBLE CO COM 3M 16K –
PUBLIC STORAGE OPER CO COM 968K 3K –
QUALCOMM INC COM 287K 1K –
RH COM 267K 1K –
SALESFORCE INC COM 2M 6K –
SANOFI SPONSORED ADR 793K 16K –
SCHWAB CHARLES CORP COM 703K 10K –
SEMPRA COM 246K 3K –
SERVICENOW INC COM 209K 266 –
SHELL PLC SPON ADS 2M 27K –
SHOPIFY INC CL A 366K 6K –
SILA REALTY TRUST INC COMMON STOCK 1M 59K –
SPDR GOLD TR GOLD SHS 674K 3K –
SPDR S&P 500 ETF TR TR UNIT 988K 2K –
STARBUCKS CORP COM 1M 14K –
STRYKER CORPORATION COM 297K 874 –
SWEETGREEN INC COM CL A 1M 34K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 460K 3K –
TARGET CORP COM 442K 3K –
TERAWULF INC COM 69K 16K –
TESLA INC COM 4M 18K –
THE CIGNA GROUP COM 359K 1K –
THERMO FISHER SCIENTIFIC INC COM 690K 1K –
TOAST INC CL A 401K 16K –
UBER TECHNOLOGIES INC COM 361K 5K –
UNILEVER PLC SPON ADR NEW 2M 37K –
UNION PAC CORP COM 368K 2K –
UNITEDHEALTH GROUP INC COM 424K 832 –
VANECK ETF TRUST MRNGSTR WDE MOAT 40M 458K –
VANGUARD BD INDEX FDS VANGUARD ULTRA 1M 26K –
VANGUARD INDEX FDS REAL ESTATE ETF 2M 20K –
VANGUARD INDEX FDS SMALL CP ETF 828K 4K –
VANGUARD INDEX FDS TOTAL STK MKT 1M 5K –
VANGUARD INDEX FDS VALUE ETF 32M 196K –
VANGUARD STAR FDS VG TL INTL STK F 369K 6K –
VANGUARD WORLD FD ESG US STK ETF 12M 124K –
VERIZON COMMUNICATIONS INC COM 3M 73K –
VISA INC COM CL A 3M 12K –
WARNER BROS DISCOVERY INC COM SER A 531K 71K –
WASTE MGMT INC DEL COM 878K 4K –
WELLS FARGO CO NEW COM 555K 9K –
WILLIAMS SONOMA INC COM 4M 13K –
ZIM INTEGRATED SHIPPING SERV SHS 341K 15K –