REGAL CAPITAL MANAGEMENT, INC.

Overview

Regal Capital Management, Inc. is an independent registered investment adviser that serves both individual and institutional clients. The firm combines portfolio management and financial planning with an insurance brokerage capability, which lets advisers integrate annuities and other insurance solutions into client plans. Advisory work spans personal wealth management, small-business and institutional portfolios, and pension consulting, and compensation is driven primarily by a percentage-of-assets fee schedule supplemented by hourly billing for planning or consultative work. Investment emphasis is on publicly traded equities and exchange-traded products as the core of client portfolios, with a clear tilt toward equity exposure. The firm also works with third-party managers across alternative strategies to add diversification and return enhancement. Regal Capital Management is not positioned as an ESG-focused allocator and operates a compact, regional footprint rather than a broad multi-state platform.

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Location & Offices