Regatta Capital Group, Llc
- Regulatory AUM
- $1.6B
- Discretionary
- $1.4B
- Clients
- 1,165
- Avg AUM / client
- $1.3M
- Accounts
- 3,847
- Employees
- 18
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 617 | $192M | 12.4% |
| High net worth individuals | 471 | $1.1B | 73.4% |
| Pooled investment vehicles (non-investment companies) | 4 | $15.2M | 0.98% |
| Pension and profit sharing plans | 48 | $153M | 9.86% |
| Charitable organizations | 10 | $26.7M | 1.72% |
| Corporations and other businesses | 15 | $26.1M | 1.68% |
Private funds (4)
Reported in Form ADV Section 7.B.(1), filing of Oct 2024 · $13.1M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Regatta Ventures Fund I, Lp | Venture Capital Fund | Delaware | $10.1M | 160 |
| Regatta Sling Ventures Fund I Qp, Lp | Venture Capital Fund | Delaware | $1.7M | 10 |
| Regatta Ventures Epic Spv, Llc | Venture Capital Fund | Delaware | $1.2M | 22 |
| Regatta Sling Ventures Fund I, Lp | Venture Capital Fund | Delaware | $100K | 9 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Governmentjobs.Com, Inc. 401(k) Profit Sharing Plan & Trust Governmentjobs.Com, Inc. | 2024 | |
| Wpromote Llc 401 K Plan Wpromote Llc | 2024 | |
| Sweetgreen, Inc. 401(k) Plan Sweetgreen, Inc. | 2024 |
People (13)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Russell Ralph Mohberg | Managing Member, Co Founder, Partner, And Chief Compliance Officer | CFP | Sep 2007 (19y) | 25% – 50% |
| Spencer Southard Kelly | Principal, Managing Member, Co Founder, Partner, And Head Of Advisory Services | Apr 2008 (18y) | 25% – 50% | |
| Nicholas Kelly Ozer | Partner, Financial Advisor, And Director Of Retirement Plans | CFP | May 2015 (11y) | 5% – 10% |
| Britt Morgan Joyce | Co Cio & Director Of Endowments & Foundations | CFA | Nov 2016 (10y) | 5% – 10% |
| Ellen Jo Himmel | Registered representative | Oct 2016 (10y) | ||
| Lindsey Diranian | Registered representative | Nov 2019 (7y) | ||
| Erika Shayne Jenkins | Registered representative | Nov 2020 (6y) | ||
| Lee Henry Clay | Registered representative | Aug 2022 (4y) | ||
| John Stephen Mccormick | Registered representative | CFP | Nov 2022 (4y) | |
| Benjamin N Satterfield | Registered representative | Nov 2022 (4y) | ||
| Lisa Ann Margulies | Registered representative | Dec 2022 (4y) | ||
| Grant Christian Nabell | Registered representative | Jul 2023 (3y) | ||
| Chloe Lee Barnett | Registered representative | CFP | Apr 2025 (1y) |
Undisclosed: 0% – 40% 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.
Private funds (4, $13.1M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Regatta Ventures Fund I, Lp | Venture Capital Fund | $10.1M | $50.0K | 160 |
| Regatta Sling Ventures Fund I Qp, Lp | Venture Capital Fund | $1.7M | $100K | 10 |
| Regatta Ventures Epic Spv, Llc | Venture Capital Fund | $1.2M | $50.0K | 22 |
| Regatta Sling Ventures Fund I, Lp | Venture Capital Fund | $100K | $100K | 9 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Governmentjobs.Com, Inc. 401(k) Profit Sharing Plan & Trust | Governmentjobs.Com, Inc. | 549 | $34.9M | 01/01/2024 |
| Wpromote Llc 401 K Plan | Wpromote Llc | 726 | $45.5M | 01/01/2024 |
| Sweetgreen, Inc. 401(k) Plan | Sweetgreen, Inc. | 3,649 | $29.7M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/02/2026 | 1.74 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Other services
Custody
Reported custodians
- Fidelity Brokerage Services $1.4B (89% of AUM) Jul 2026
- National Financial Services (Fidelity) $247M (85% of AUM) Mar 2018
- Millennium Trust Company, Llc $48.7M (15% 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: Jul 31, 2026.
View current Form ADV (SEC/IAPD) ↗