{"url":"https://nivawealth.com/firms/regal-advisory-services-123842","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/123842","regulatoryAum":121430017,"crd":"123842","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4852873","suffix":null,"lastName":"AKSOMITAITE","firstName":"SKAISTE","middleName":null},{"crd":"718774","suffix":null,"lastName":"BOKIOS","firstName":"GEORGE","middleName":null},{"crd":"2251962","suffix":null,"lastName":"BRANSON","firstName":"SCOTT","middleName":"KENDALL"},{"crd":"7676014","suffix":null,"lastName":"Carroll","firstName":"George","middleName":"James"},{"crd":"1539587","suffix":null,"lastName":"CARTER 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quarterly.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021563","versionId":1021563,"submittedOn":"2026-03-19","documentName":"PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T12:42:22.854567+00:00","documents":[{"name":"PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021563","versionId":1021563,"submittedOn":"2026-03-19"}]},"custodians":[{"name":"RBC Capital Markets, LLC","shortName":"RBC Capital Markets","location":"New York, NY","smaAssets":101681613},{"name":"Hilltop Securities Inc.","shortName":"Hilltop Securities","location":"Dallas, TX","smaAssets":19748404}],"custodyNote":"Regal Advisory Services does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jeremy Engelbrecht","title":"Chief Compliance Officer (Interim)","crd":"3277607"},{"name":"Skaiste Aksomitaite","title":"Secretary / Treasurer","crd":"4852873"},{"name":"Victoria Bokios","title":"Trustee","crd":"2421318"},{"name":"Michael Thomas","title":"Director of Relationship Management","crd":"2110140"},{"name":"George Bokios","title":"Shareholder","crd":"718774"}],"ownership":[{"label":"George Bokios","detail":"Shareholder in the 50% to 75% ownership band and a control person, since April 2001. Also a grantor of Bokios 2012 Dynasty Trust in the 75% or more band and a control person, since December 2012."},{"label":"Bokios 2012 Dynasty Trust","detail":"Shareholder in the 25% to 50% ownership band and a control person, since December 2012."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":12,"privateResidences":6},"listedOfficeAddresses":7,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":3,"addresses":[{"street":"7914 Ne 4 CT","city":"Miami"},{"street":"4300 Ford Street Ext.","city":"FT. 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They include 224 individual clients, 45 high-net-worth individuals, and 5 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Regal Advisory Services offer?","answer":"Regal Advisory Services provides financial planning, portfolio management for individuals and small businesses, selecting other managers, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Regal Advisory Services use?","answer":"Regal Advisory Services’ separately managed account assets are held at RBC Capital Markets, LLC (New York, NY), with $102M and Hilltop Securities Inc. (Dallas, TX), with $19.7M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Regal Advisory Services have?","answer":"Regal Advisory Services has 24 investment adviser representatives registered with state securities authorities, out of 25 employees, and 16 perform investment advisory functions. 22 employees are registered representatives of a broker-dealer and 14 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Regal Advisory Services invest in?","answer":"At the end of its last fiscal year, Regal Advisory Services’ separately managed accounts held 48% exchange-traded equities, 45% registered funds (mutual funds, ETFs, BDCs), 4% cash and equivalents, 1% non-exchange-traded equities, 1% investment grade corporate bonds and 1% high-yield corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Regal Advisory Services?","answer":"Regal Advisory Services’ direct owners are George Bokios (50% to 75%) and Bokios 2012 Dynasty Trust (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 31 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Regal Advisory Services get paid?","answer":"Regal Advisory Services is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Regal Advisory Services?","answer":"Regal Advisory Services’ main office is at 950 North Milwaukee Avenue, Suite 101, Glenview, IL 60025-3771. Its phone number is 877-488-6537.","source":"Form ADV Part 1A, Item 1.F, filed 31 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}