REGAL ADVISORY SERVICES, INC.
Adviser information for REGAL ADVISORY SERVICES, INC. last updated from Form ADV on March 26th, 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 | 24 |
|---|---|
| Investment Advisory/Research | 17 |
| Registered Broker-Dealer Representatives | 21 |
| Registered State Investment Advisers | 24 |
| Licensed Agents of an Insurance Company | 13 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 100 | $38.6M |
| Non-Discretionary | 184 | $70.2M |
| Total | 284 | $108.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 237 | $42.9M |
| HNW Individuals | 44 | $42.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | $23.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-71619 |
|---|---|
| SEC ERA File Number | 801-71619 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 123842 |
| Legal Entity Identifier | None |
Principal Office
950 NORTH MILWAUKEE AVENUESUITE 101
GLENVIEW
IL
United States
Monday - Friday, 8 AM TO 5 PM
Tel: 877-488-6537, Fax: 847-375-6033
Chief Compliance Officer
ANDREW ZIMMER
CEO
950 NORTH MILWAUKEE AVENUE
SUITE 101
GLENVIEW
IL
United States
Tel:
847-375-6022
A******@******************M
(Full email address available in API data)
Regulatory Contact
DAVID GARCIA
COMPLIANCE OFFICER
950 NORTH MILWAUKEE AVE
SUITE 101
GLENVIEW
IL
United States
Tel:
847-375-6021
D******@******************M
(Full email address available in API data)
Industry Affiliates
| REGAL SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BOKIOS, GEORGE | Individual | – | SHAREHOLDER | 04/2001 | 50-75% |
| AKSOMITAITE, SKAISTE | Individual | – | SECRETARY / TREASURER | 10/2007 | < 5% |
| BOKIOS 2012 DYNASTY TRUST | Domestic Entity | – | SHAREHOLDER | 12/2012 | 25-50% |
| BOKIOS, GEORGE | Individual | BOKIOS 2012 DYNASTY TRUST | GRANTOR | 12/2012 | > 75% |
| BOKIOS, VICTORIA, THEADORA | Individual | – | TRUSTEE | 12/2012 | < 5% |
| ZIMMER, ANDREW, RUDOLPH | Individual | – | CHIEF EXECUTIVE OFFICER | 12/2020 | < 5% |
| ZIMMER, ANDREW, RUDOLPH | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2024 | < 5% |