Regal Oak Financial, LLC

Overview

Regal Oak Financial, LLC operates as a small advisory firm focused on financial planning and portfolio guidance for individuals and small businesses. The firm’s regulatory filings show it provides fee-based advice across several billing structures — percentage of AUM, hourly charges and fixed fees — and also lists the publication of periodicals or newsletters as an activity. Regal Oak identifies itself as a non-discretionary adviser, which means it primarily makes recommendations and provides planning rather than exercising trading authority over client accounts. The firm does not flag itself as an active ESG investor and is not registered as a multi-state adviser. Investment preferences are modest and conventional: the firm reports use of mutual funds for core allocations and uses third-party managers for real estate exposure. Given the single-account scale of the business and the non-discretionary stance, the practical investment approach appears centered on recommending pooled vehicles and external managers rather than direct stock-picking or in-house alternative management.

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Investments & Alternatives

Location & Offices