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Why Us?

We Are Fiduciaries


Complex client needs require a sophisticated approach to planning and investment management. As an independent Registered Investment Advisor, Regal has 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.

Your Personal CFO


Complex lives require multiple professionals to address a wide variety of issues and needs. For the client, keeping track of everything is challenging, especially when also trying to build a career or business, be present to family and friends, and participate in the activities you love.

At Regal, part of our commitment to clients is to relieve them of having to manage their financial lives themselves. As your trusted partner, we are your personal Chief Financial Officer -- it’s a speed-dial relationship because we are all you need when financial issues come up.

Comprehensive Approach


Comprehensive means that we consider every aspect of your financial life in our work with you. That includes taking both a macro and micro view of your needs and objectives, coordinating with all of your trusted advisors and engaging with specialists when necessary. We continually monitor your plan and your investments and keep you informed about market conditions. Most importantly, we remain focused on your specific needs and circumstances and are proactive in ensuring that as your life changes, your plan is adjusted to address it. This means that you can live your life knowing that we’ve got you covered.

Innovation


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.

Strategic Relationships


Our ability to serve clients comprehensively is a function of the strategic relationships we have developed. Whether it’s investment partners, business managers, family governance experts or asset transaction and custody services, our resources give us access to best practices and enable us to best serve our clients.