Regency Financial Group
RIASEC & State Registered
Total AUM
$35M
Discretionary
$35M
100% of AUM
Avg account
$170K
Accounts
206
Employees
1
Advisory reps
1
Firm details
- Headquarters
- ,
- CRD number
- 139892
- Registered since
- October 23, 2026
- Website
- www.regencyfinancial.net
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI63.93%
- Individuals36.07%
- Services
- Financial PlanningPortfolio Management for Individuals
Firm profile
FINTRXOverview
Regency Financial Group is an owner-operated, independent registered investment adviser organized as a sole proprietorship and registered in California. The firm focuses on individual and family clients, offering financial planning and portfolio management for individuals and small businesses. Its fee arrangements include a percentage-of-AUM charge alongside hourly and fixed-fee options. Regency does not identify as an ESG investor and its advisory scope is concentrated within the state.
Assets & Accounts
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds62%
- Exchange Traded Equities34%
- Cash & Cash Equivalents4%
Owners & executives
FINTRXContacts
FINTRXWealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
Primary office
, null
Location
, null
Headquartered in , null.
- Office locations
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