The REGAL INVESTMENT ADVISORS LLC is a privately held investment adviser that advises $2.45Bn in regulatory assets under management held in 0 SEC fund types across 0 investment strategies. REGAL INVESTMENT ADVISORS LLC is a Retail Wealth A retail wealth manager is a manager whose >=75% of total assets under management are managed for individual investors through retail advisory or brokerage channels. Manager. Assets increased by 67.14% over the last 5-years.
The Group has been registered with the SEC for 15.3 years and is comprised of 1 filing and 0 relying advisers. They operate out of 24 office locations with their Headquarters at 2687 44TH STREET SE, KENTWOOD, MI. The Group has been subject to regulatory enforcement actions. They are regulated by 1 US and Non-US bodies.
They have 118 employees comprised of 110 investment and 8 non-investment staff. The total number of Employees decreased by 15.71% over the last 5-years.
Their $2.45Bn in assets advised are owned by 0 private funds, 0 public funds and BDCs and 103 other accounts. Assets of Individuals clients own $1.56Bn or 63.71% of Total Assets and High Net Worth Individuals own $733.38mn or 29.96% of Total Assets.
The Group's top investment strategies include , representing of total assets, respectively.
They advise 5 types of clients, top clients are Individuals and High Net Worth Individuals.
The Group uses 0 Fund Administrators, 0 Fund Auditors, 0 Prime Brokers, 0 Custodians and 0 Marketers. It does not report a third-party Fund Administrator in 0 private funds with $0 in assets.
The Group discloses fixed fees and management fees.
REGAL INVESTMENT ADVISORS LLC names 0 sub-advisers to 0 different funds advised by the group. The Group has been named as the sub-adviser to 0 funds.
They have a HIGH-WATCH risk business model that requires a high degree of process maturity to manage operational risk. A Manager Group has a "High Complexity" when 25% or more of 63 business conditions measured require a high level of process maturity to manage the risk. The "Watch" suffix indicates that one or more of the following business conditions carry a high-complexity score: 1) % Fund Assets Valued Internally, 2) prior Regulatory Violations, 3) Unqualified Audits, 4) Multi-Functional C-Suite and 5) Business Concentration Risk with an Auditor or Administrator.
In REGAL INVESTMENT ADVISORS LLC's case, they have 11 business conditions that require high process maturity and 1 Watch Factors.