Regency Capital Management Inc.
- Regulatory AUM
- $364M
- Discretionary
- $364M
- Clients
- 127
- Avg AUM / client
- $2.9M
- Accounts
- 371
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 47 | $17.8M | 4.88% |
| High net worth individuals | 69 | $326M | 89.6% |
| Banking or thrift institutions | Fewer than 5 clients | $0 | — |
| Pooled investment vehicles (non-investment companies) | 1 | $5.3M | 1.45% |
| Pension and profit sharing plans | 3 | $2.4M | 0.66% |
| Charitable organizations | 3 | $4.0M | 1.09% |
| State or municipal government entities | Fewer than 5 clients | $0 | — |
| Other investment advisers | Fewer than 5 clients | $0 | — |
| Insurance companies | Fewer than 5 clients | $0 | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | $0 | — |
| Corporations and other businesses | 4 | $8.5M | 2.34% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $2.1M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Regency Capital Management Fund Lp | Hedge Fund | Delaware | $2.1M | 4 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Neil T. Rose | Ceo | CFA | Dec 2020 (6y) | 50% – 75% |
| Mallet, Arthur, Jacques | President, Coo, Cco | Jan 2021 (6y) | Less than 5% | |
| Kawika Shoji | Registered representative | Sep 2022 (4y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Regency Acquisitions Llc | Member | Dec 2020 | A | 75% or more |
| Rose, Neil, Taylor | Member | Dec 2020 | B | ≈ 37.5% – 75% via Regency Acquisitions Llc |
Estimated effective ownership (look-through of filed bands):
- Rose, Neil, Taylor: 50% – 75% of Regency Acquisitions Llc × 75% – 100% direct ≈ 37.5% – 75% of the firm
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 (1, $2.1M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Regency Capital Management Fund Lp | Hedge Fund | $2.1M | $1.0M | 4 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/04/2026 | 1.2 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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $244M (67% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Mar 04, 2026.
View current Form ADV (SEC/IAPD) ↗