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Approach

Complex client needs require a sophisticated approach to planning and investment management. As an independent firm, we have access to the best available investment options and opportunities, unlimited by the constraints often placed on financial consultants by the traditional Wall Street brokerages. We act as true fiduciaries for our clients – not just some of the time, but all of the time. This means there are no commissions or third-party incentives to sway our recommendations, ever.

Similarly, because we are a privately-owned and operated wealth management firm, we can leverage the latest thinking in financial technology to provide the sophisticated tools we need to effectively manage portfolios and provide clients with transparent, real-time reporting.  

In order to address the unique needs of our clients, we focus on identifying solutions that capitalize on market inefficiencies. Our customized portfolios are designed to:

  • Maintain, manage, and grow assets for affluent families while mitigating downside risk
  • Strategically manage available cash and funding opportunities to achieve specific goals
  • Ensure the right resources exist to leverage key investment opportunities
  • Protect assets, protect family legacies, and protect life-long achievements

The innovation in our industry has altered the landscape for independent firms like ours, enabling us to provide a distinct advantage to investors without increased risk. To ensure stability, Regal has partnered with BNY Mellon-Pershing, the industry’s largest provider of clearing and settlement solutions and a world-class custodian with over $1.9 trillion global assets under custody. Our ability to innovate and move nimbly without institutional pressures dramatically decreases your risk and increases your investment options.