Regal Investment Advisors Llc
SEC-registered
Insurance-Affiliated · Mid-sized ($1B–$10B)
CRD 125004
· SEC file 801-71923
· Kentwood, MI
· REGALRIA.NET
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ADV data as of May 18, 2026
- Regulatory AUM
- $2.9B
- Discretionary
- $2.4B
- Clients
- 8,302
- Avg AUM / client
- $347K
- Accounts
- 13,473
- Employees
- 131
AUM over time
$216M
$2.9B
Dec 2011
May 2026
Annual snapshots from Form ADV filings · as of May 18, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 7,665 | $1.6B | 55.4% |
| High net worth individuals | 555 | $1.1B | 39.7% |
| Pension and profit sharing plans | 40 | $127M | 4.42% |
| Charitable organizations | 6 | $831K | 0.03% |
| Corporations and other businesses | 36 | $14.4M | 0.5% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| University School Of Milwaukee Defined Contribution Retirement Plan University School Of Milwaukee | 2024 | |
| Anesthesia Associates, P.L.L. Profit Sharing Plan And Trust Anesthesia Associates, P.L.L. | 2024 | |
| Wabash Center, Inc. 401(k) Plan Wabash Center, Inc. | 2024 | |
| Sg Chevrolet 401(k) Savings Plan Sg Chevrolet, Llc | 2024 | |
| Southwest Airlines Pilots Retirement Savings Plan Southwest Airlines Company | 2024 | |
| Iu Health 401(k) Savings Plan Indiana University Health Inc. | 2024 | |
| United Airlines Pilot Retirement Account Plan United Airlines, Inc. | 2024 |
People (124)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brian Dale Yarch | Managing Member | Chartered Financial Consultant | Jan 2000 (27y) | 10% – 25% |
| John Anthony Kailunas | Managing Member And Ceo | Jan 2000 (27y) | 75% or more | |
| Donald Nate Carlson | Executive Vice President | Jan 2011 (16y) | Less than 5% | |
| Best, William, Samuel | Chief Operating Officer | May 2016 (10y) | Less than 5% | |
| Thomas Jack Bonnington | Chief Compliance Officer | Apr 2023 (3y) | Less than 5% | |
| Dustin Edward Leach | Registered representative | Nov 2010 (16y) | ||
| Keith Reeves Barron | Registered representative | Dec 2010 (16y) | ||
| Scott Phillip Hanson | Registered representative | Chartered Financial Consultant | Mar 2011 (15y) | |
| Bari Walter Bell | Registered representative | Jun 2011 (15y) | ||
| Jon Michael Mccardle | Registered representative | Apr 2012 (14y) | ||
| Terry Dean Hollar | Registered representative | Chartered Financial Consultant | Oct 2012 (14y) | |
| Edward C Lewis | Registered representative | CFP | Dec 2012 (14y) | |
| Anthony Joseph Burek | Registered representative | Apr 2013 (13y) | ||
| Michael Warren Morrison | Registered representative | CFP | Jul 2013 (13y) | |
| Christopher Mark Peterson | Registered representative | CFP | Jul 2014 (12y) | |
| James Allen Fischer | Registered representative | Chartered Financial Consultant | Jul 2014 (12y) | |
| James Brian Dillon | Registered representative | Sep 2014 (12y) | ||
| Steve Floyd Mankameyer | Registered representative | CFP | Nov 2014 (12y) | |
| Jeffrey Alan Umbaugh | Registered representative | Feb 2015 (11y) | ||
| Dave M Stanfield | Registered representative | Mar 2015 (11y) | ||
| Paul M. Bailley | Registered representative | Aug 2015 (11y) | ||
| Lee Charles Cole | Registered representative | Aug 2015 (11y) | ||
| Cory James Thompson | Registered representative | Nov 2015 (11y) | ||
| Travis Robert Peltz | Registered representative | May 2016 (10y) | ||
| Russell Alan Smith | Registered representative | CFP Chartered Financial Consultant | Jan 2017 (10y) | |
| Trevor S Kurth | Registered representative | CFP | Feb 2017 (9y) | |
| Scott Richard Flynn | Registered representative | Mar 2017 (9y) | ||
| Aaron Christopher Tice | Registered representative | Jun 2017 (9y) | ||
| Louis Ralph Petrillo | Registered representative | Jan 2018 (9y) | ||
| Jon Robert Erickson | Registered representative | CFP | Jan 2018 (9y) | |
| Bradley Wallick | Registered representative | CFA | Feb 2018 (8y) | |
| Sidney Joseph Dufresne | Registered representative | Feb 2018 (8y) | ||
| Laura Kramer Mc Reynolds | Registered representative | Mar 2018 (8y) | ||
| James Richard Reim | Registered representative | CFA | Apr 2018 (8y) | |
| Jeffrey Lloyd Gibbens | Registered representative | Apr 2018 (8y) | ||
| Matteo Petrillo | Registered representative | Apr 2018 (8y) | ||
| Anthony Burton | Registered representative | Jul 2018 (8y) | ||
| James Patrick White | Registered representative | Sep 2018 (8y) | ||
| Alan Elmer Toman | Registered representative | Oct 2018 (8y) | ||
| Carlos Alberto Guzman | Registered representative | Nov 2018 (8y) | ||
| Phillip Wayne Olney | Registered representative | Mar 2019 (7y) | ||
| Anthony Steven Thornton | Registered representative | Mar 2019 (7y) | ||
| Christopher James Hoxie | Registered representative | Apr 2019 (7y) | ||
| Tamara Leah Higgins | Registered representative | May 2019 (7y) | ||
| Richard Nathaniel Law | Registered representative | Sep 2019 (7y) | ||
| Kristen Kelly Smigelski | Registered representative | CFP | Oct 2019 (7y) | |
| Alex Jay Hossink | Registered representative | Nov 2019 (7y) | ||
| Steven Edward Harrigan | Registered representative | Dec 2019 (7y) | ||
| Jason Tyler Eagle | Registered representative | CFP | Feb 2020 (6y) | |
| Mark Andrew Jones | Registered representative | CFP | Sep 2020 (6y) | |
| Jordan David Fischer | Registered representative | CFP | Sep 2020 (6y) | |
| Barry J Magaoay | Registered representative | Feb 2021 (5y) | ||
| Kevin William Berwald | Registered representative | CFP Chartered Financial Consultant | Feb 2021 (5y) | |
| Joseph B Kindig | Registered representative | Mar 2021 (5y) | ||
| Samuel Troy Grezaffi | Registered representative | Mar 2021 (5y) | ||
| Michael John Barron | Registered representative | Chartered Financial Consultant | Apr 2021 (5y) | |
| Donald Wayne Aaron | Registered representative | Jun 2021 (5y) | ||
| John Dennis Kelly | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Don Ross Martin | Registered representative | CFP | Sep 2021 (5y) | |
| Marina B Peacock | Registered representative | Jan 2022 (5y) | ||
| Vipul Braj Varma | Registered representative | Jan 2022 (5y) | ||
| Tadd Alan Strabbing | Registered representative | Jan 2022 (5y) | ||
| Emily Joy Bustraan | Registered representative | CFP | May 2022 (4y) | |
| Cassandra Bezeau | Registered representative | May 2022 (4y) | ||
| Christopher Lee Warber | Registered representative | Jan 2023 (4y) | ||
| Andres Fabian Zambrano | Registered representative | Feb 2023 (3y) | ||
| Richard Eugene Miller | Registered representative | CFP Chartered Financial Consultant | Feb 2023 (3y) | |
| Mario Luis Ruiz | Registered representative | May 2023 (3y) | ||
| Daylen Robert Dye | Registered representative | Jun 2023 (3y) | ||
| James Cameron Musgrave | Registered representative | Jun 2023 (3y) | ||
| Thomas J Lee | Registered representative | Jul 2023 (3y) | ||
| Ivan Michael Nalibotsky | Registered representative | Chartered Financial Consultant | Aug 2023 (3y) | |
| Phillip Max Owens | Registered representative | Chartered Financial Consultant | Nov 2023 (3y) | |
| Matthew Joseph Mortillaro | Registered representative | Nov 2023 (3y) | ||
| Shawn Christian Everett | Registered representative | Dec 2023 (3y) | ||
| Rafat Jadon Jadon | Registered representative | Feb 2024 (2y) | ||
| Shane S Price | Registered representative | Jun 2024 (2y) | ||
| Justin Martin Toole | Registered representative | Jul 2024 (2y) | ||
| Paul Russell Cunningham | Registered representative | Jul 2024 (2y) | ||
| Robin Miller Drews | Registered representative | Jul 2024 (2y) | ||
| Melissa Marie Clements | Registered representative | CFP | Sep 2024 (2y) | |
| Leonard Maurice Dandridge | Registered representative | Oct 2024 (2y) | ||
| Bambrah Kai Walker | Registered representative | Nov 2024 (2y) | ||
| Christopher Tyler Simon | Registered representative | Dec 2024 (2y) | ||
| Jill Anne Veenstra | Registered representative | Dec 2024 (2y) | ||
| Shiqi Wang | Registered representative | Dec 2024 (2y) | ||
| Thomas Kowalkoski | Registered representative | Dec 2024 (2y) | ||
| Gregory Peter Brick | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Heather Renee Christmann | Registered representative | Jan 2025 (2y) | ||
| Russell L Thompson | Registered representative | Jan 2025 (2y) | ||
| Kaponotuitalau Faitau | Registered representative | Jan 2025 (2y) | ||
| Vinh Ma | Registered representative | CFP | Mar 2025 (1y) | |
| John Richard Hemenway | Registered representative | Apr 2025 (1y) | ||
| Blane M Bailley | Registered representative | Apr 2025 (1y) | ||
| Jamison Scott Sanders | Registered representative | May 2025 (1y) | ||
| David Evans Decesare | Registered representative | Jun 2025 (1y) | ||
| Daniel S Mercado | Registered representative | Jul 2025 (1y) | ||
| Daniel Rosado Mercado | Registered representative | Jul 2025 (1y) | ||
| Carl Andrew Keil | Registered representative | Jul 2025 (1y) | ||
| Peter Louis Vescovi | Registered representative | Aug 2025 (1y) | ||
| Devan Dekker | Registered representative | Sep 2025 (1y) | ||
| Lisa Tursi | Registered representative | Oct 2025 (1y) | ||
| Peter Louis Vescovi | Registered representative | Oct 2025 (1y) | ||
| Darrans Margens Desire | Registered representative | Oct 2025 (1y) | ||
| Ralph Edma Desire | Registered representative | Oct 2025 (1y) | ||
| Hunter Kenneth Reddick | Registered representative | Oct 2025 (1y) | ||
| Jodi Lynn Hanson | Registered representative | Nov 2025 (1y) | ||
| Cornelius Willem Boerkoel | Registered representative | Dec 2025 (1y) | ||
| Robert Jerry Boerkoel | Registered representative | Dec 2025 (1y) | ||
| Dennis Mancuso | Registered representative | Dec 2025 (1y) | ||
| Ericka Butler | Registered representative | Jan 2026 (1y) | ||
| Olivia Geiger | Registered representative | Jan 2026 (1y) | ||
| Paul Anthony Savage | Registered representative | Feb 2026 (0y) | ||
| Trey Gilbert | Registered representative | Feb 2026 (0y) | ||
| Thomas Anthony Ditta | Registered representative | Feb 2026 (0y) | ||
| Colby David Robbe | Registered representative | Feb 2026 (0y) | ||
| Anthony Catapano | Registered representative | Mar 2026 (0y) | ||
| Matthew Kyle Koball | Registered representative | Apr 2026 (0y) | ||
| Mark Christopher Connell | Registered representative | May 2026 (0y) | ||
| Caitlyn Ann Leffler | Registered representative | May 2026 (0y) | ||
| Robert John Geary | Registered representative | Jun 2026 (0y) | ||
| Blake Albregts | Registered representative | Jun 2026 (0y) | ||
| James Steven Hammond | Registered representative | Jul 2026 (0y) | ||
| Donna Marie Adams | Registered representative | Jul 2026 (0y) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (7)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| University School Of Milwaukee Defined Contribution Retirement Plan | University School Of Milwaukee | 234 | $85.4M | 07/01/2024 |
| Anesthesia Associates, P.L.L. Profit Sharing Plan And Trust | Anesthesia Associates, P.L.L. | 18 | $3.3M | 01/01/2024 |
| Wabash Center, Inc. 401(k) Plan | Wabash Center, Inc. | 476 | $4.2M | 01/01/2024 |
| Sg Chevrolet 401(k) Savings Plan | Sg Chevrolet, Llc | 686 | $21.1M | 01/01/2024 |
| Southwest Airlines Pilots Retirement Savings Plan | Southwest Airlines Company | 11,679 | $11.6B | 01/01/2024 |
| Iu Health 401(k) Savings Plan | Indiana University Health Inc. | 40,158 | $4.5B | 01/01/2024 |
| United Airlines Pilot Retirement Account Plan | United Airlines, Inc. | 17,444 | $16.8B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/18/2026 | 2.06 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory
as of Nov 22, 2024
Allegations: THE ALLEGATIONS ARE FAILING TO (I) PROVIDE ADVISORY SERVICES TO CERTAIN CLIENTS AFTER THEIR INVESTMENT ADVISER REPRESENTATIVES ("IARS") LEFT REGAL, AND (II) DISCLOSE CONFLICTS OF INTEREST ARISING FROM COMPENSATION RECEIVED FROM AN AFFILIATED PORTFOLIO MANAGER. Status: Final Sanction Detail: BRIAN D. YARCH SHALL NOT ACT IN A CHIEF COMPLIANCE OFFICER CAPACITY WITH ANY BROKER, DEALER, INVESTMENT ADVISER, MUNICIPAL SECURITIES DEALER, MUNICIPAL ADVISOR, TRANSFER AGENT, OR NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATION. BRIAN D. YARCH MAY APPLY TO ACT IN SUCH A CHIEF COMPLIANCE OFFICER CAPACITY AFTER THREE YEARS. Summary: REGAL SETTLED WITHOUT ADMITTING OR DENYING THE FINDINGS WITH THE SEC FOR NOT PROVIDING ADVISORY SERVICE TO CERTAIN ADVISORY CLIENTS AFTER THE ORIGINAL IAR LEFT REGAL AND DIDN'T DISCLOSE CONFLICTS OF INTEREST ARISING FROM COMPENSATION RECEIVE FROM AN AFFILIATED PORTFOLIO MANAGER. THE CITED CONDUCT WAS UNINTENTIONAL AND AMOUNTS PAID PURSUANT TO THE ORDER WILL BE DISTRIBUTED TO AFFECTED CLIENTS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • THIRD PARTY FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Distributors Company Llc $1.9B (66% of AUM) May 2026
- Charles Schwab & Co. $766M (27% of AUM) May 2026
- Fidelity Investments Institutional Services Company, Inc. $498M (39% of AUM) Nov 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 18, 2026.
View current Form ADV (SEC/IAPD) ↗