REGENCY WEALTH MANAGEMENT

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	New Jersey, United States

Employees

Total Number of Employees	10
Investment Advisory/Research	6
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	6
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	1,048	$457.6M
Non-Discretionary	84	$27.0M
Total	1,132	$484.6M

Clients

Type	Number	RAUM
Individuals	107	$41.7M
HNW Individuals	163	$405.7M
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	<5	$3.6M
Charitable organizations	11	$28.3M
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	7	$5.3M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	289
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	101-250

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation	% of AUMFixed fees

Identifiers

SEC RIA File Number	801-72134
SEC ERA File Number	801-72134
SEC CIK Numbers	1727342
SEC CRD Numbers	131208
Legal Entity Identifier	None

Principal Office

500 NORTH FRANKLIN TURNPIKE
SUITE 212
RAMSEY
NJ
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic