REGAL BAY INVESTMENT GROUP, LLC

Overview

Regal Bay Investment Group, LLC operates as an independent registered investment adviser that combines advisory and brokerage activity. The firm serves individual and family clients with a mix of financial planning and portfolio management for individuals, small businesses and institutions. Its business model blends fee-based advisory work — percentage of assets, hourly and fixed fees — with commissionable activity, reflecting the firm’s status as a registered representative of a broker-dealer. The firm’s asset mix is equity-heavy, with a clear preference for exchange-traded equities. Most client relationships appear to be handled on a non-discretionary basis, which points to a client-directed approach to portfolio construction and trade execution. Regal Bay uses third-party alternative managers for access to venture capital, private placements and real estate, and also places annuity products as part of client solutions.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices