Regatta Capital Group provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, education planning, estate planning, and philanthropic planning. Financial planning was provided to 1,000 clients last fiscal year. The firm advises 4 private funds.
Regatta Capital Group reports 1,165 clients. They include 617 individual clients, 471 high-net-worth individuals, and 48 pension and profit-sharing plans. Of its assets, 91.9% ($1.43B across 3,696 accounts) are managed with discretion; $126M across 151 accounts are not. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 53% | 12% |
| High-net-worth individuals | 40% | 73% |
| Pooled investment vehicles | <1% | <1% |
| Pension and profit-sharing plans | 4% | 10% |
| Charitable organizations | <1% | 2% |
| Other client typesCorporations and other businesses | 1% | 2% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 617 | $192M | 12.4% | $311K |
| High-net-worth individuals | 471 | $1.14B | 73.4% | $2.42M |
| Pooled investment vehicles | 4 | $15.2M | 1.0% | $3.81M |
| Pension and profit-sharing plans | 48 | $153M | 9.9% | $3.19M |
| Charitable organizations | 10 | $26.7M | 1.7% | $2.67M |
| Corporations and other businesses | 15 | $26.1M | 1.7% | $1.74M |
| Total | 1,165 | $1.55B | 100% | $1.33M |
- Clients
- 617
- Regulatory AUM
- $192M
- AUM share
- 12.4%
- Avg. per client
- $311K
- Clients
- 471
- Regulatory AUM
- $1.14B
- AUM share
- 73.4%
- Avg. per client
- $2.42M
- Clients
- 4
- Regulatory AUM
- $15.2M
- AUM share
- 1.0%
- Avg. per client
- $3.81M
- Clients
- 48
- Regulatory AUM
- $153M
- AUM share
- 9.9%
- Avg. per client
- $3.19M
- Clients
- 10
- Regulatory AUM
- $26.7M
- AUM share
- 1.7%
- Avg. per client
- $2.67M
- Clients
- 15
- Regulatory AUM
- $26.1M
- AUM share
- 1.7%
- Avg. per client
- $1.74M
Total
- Clients
- 1,165
- Regulatory AUM
- $1.55B
- AUM share
- 100%
- Avg. per client
- $1.33M
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 4
- Financial planning clients last fiscal year
- 1000
Regatta Capital Group charges 0.30%–1.20% for its Wealth Management Services. The brochure does not state whether the rate is annual. The fee is billed in advance and is negotiable. The brochure also prices 4 other services, listed under fee details.
Fee details and sources
Other fees
- Estate Planning Document Generation
- Estate planning document generation, as an additional financial planning service, is a one-time flat fee of up to $10,000.
- Financial Planning and Consulting
- Standalone financial planning or consulting is charged hourly at $50 to $300, or as a fixed fee of $1,000 to $15,000, depending on the nature and complexity of the services.
- Retirement Plan Advisory Services
- Retirement plan advisory services are charged an annual asset-based fee of up to 1.40%, billed quarterly at the end of each quarter.
- Transformational Coaching Services
- Transformational coaching services are charged a fixed rate of up to $40,000, negotiable depending on the nature and complexity of each client's circumstances.
Russell Mohberg owns 25% to 50% of Regatta Capital Group. The leadership team of Regatta Capital Group includes Chief Compliance Officer Russell Mohberg. It has 18 employees, 14 of them in advisory roles.
Leadership
- Russell MohbergManaging Member, Co-Founder, Partner, and Chief Compliance Officer
- Britt JoyceCo-CIO & Director of Endowments & Foundations
- Spencer KellyPrincipal, Managing Member, Co- Founder, Partner, and Head of Advisory Services
- Nicholas OzerPartner, Financial Advisor, and Director of Retirement Plans
Investment adviser representatives
14 representatives listed in the SEC register as of 9 October 2026.
- Chloe Lee Barnett
- Lee Henry Clay
- Lindsey Diranian
- Ellen Jo Himmel
- Erika Shayne Jenkins
- Britt Morgan Joyce
- Spencer Southard Kelly
- Lisa Ann Margulies
- John Stephen McCormick
- Joshua Irving Miller
- Russell Ralph Mohberg
- Grant Christian Nabell
- Nicholas Kelly Ozer
- Benjamin N Satterfield
Staff
- 18 employees
- 14 in advisory functions
- 14 state-registered reps
- Owns 25% to 50% of Regatta Capital Group, LLC
Russell Mohberg
Control person · since September 2007
- Owns 25% to 50% of Regatta Capital Group, LLC
Spencer Kelly
Control person · since April 2008
- Owns 5% to 10% of Regatta Capital Group, LLC
Nicholas Ozer
Control person · since May 2015
- Owns 5% to 10% of Regatta Capital Group, LLC
Britt Joyce
Control person · since January 2023
Regatta Capital Group’s regulatory assets grew 2.3× from $683M (July 2021) to $1.55B (July 2026); clients rose from 782 to 1,165 and employees from 12 to 18.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| July 2026 | $1.55B | 1,165 | 18 | 6 |
| May 2025 | $1.37B | 1,125 | 16 | 6 |
| July 2024 | $1.16B | 1,072 | 16 | 6 |
| July 2023 | $1.02B | 1,023 | 17 | 7 |
| June 2022 | $907M | 926 | 15 | 4 |
| July 2021 | $683M | 782 | 12 | 3 |
Besides its headquarters, Regatta Capital Group has 5 offices (3 private residences, listed without an address), with 3 listed addresses in California.
California · 3 listed addresses
- 880 Apollo St., Suite 129, El SegundoHQ
- 12317 Ventura BLVD., Studio City
- 12011 San Vicente BLVD, Los Angeles
Other business names
Regatta Capital Group has reported 1 other business name to the SEC.
- Regatta Ventures Management
Contact and registration details
- Legal name
- Regatta Capital Group, LLC
- Headquarters
- 880 Apollo St., Suite 129, El Segundo, CA 90245
- Website
- regattainvest.com
- Phone
- 310-725-9102
- @regatta-capital-group
- SEC file
- 801-68490
- Founded
- 2007
- Structure
- California LLC
- Fiscal year end
- December
Regatta Capital Group uses Fidelity ($1.38B) as custodian for its separately managed accounts. Regatta Capital Group has custody of $606M in client assets for 515 clients.
- FidelityFidelity Brokerage Services LLC · Smithfield, RI · $1.38B100%
At year end, Regatta Capital Group’s separately managed accounts were mostly in funds (69%) and stocks (18%). Its reported 13F holdings for the quarter ended 30 June 2026 total $744M across 223 positions; the largest are iShares TR (8.9%), Vaneck ETF Trust (6.7%) and Vanguard Index Fds (5.4%).
What the accounts hold
- Stocks18%
- Exchange-traded equities16%
- Non-exchange-traded equities2%
- Funds69%
- Registered funds57%
- Pooled vehicles12%
- Bonds1%
- Cash12%
Reported 13F holdings
- $744M
- Reported 13F value
- 223
- Positions
- 48.4%
- In the 10 largest
- +12.5%
- Value vs. prior quarter
- iShares TR · Core S&P Ttl Stk8.9%
- Vaneck ETF Trust · Mrngstr Wde Moat6.7%
- Vanguard Index Fds · Value ETF5.4%
- Apple Inc.5.2%
- American Centy ETF TR · Avantis Core FI4.8%
- American Centy ETF TR · US Sml CP Valu3.9%
- iShares TR · Core MSCI Total3.7%
- Capital Grp Fixed Incm ETF T · US Multi-sector3.3%
- Alphabet Inc. · Cap Stk CL A3.3%
- iShares TR · MSCI USA Qlt Fct3.3%
Together, the ten largest are 48.4% of reported value.
How many clients does Regatta Capital Group have?
Regatta Capital Group has 1,165 clients and manages $1.55 billion for them, as of July 2026. They include 617 individual clients, 471 high-net-worth individuals, and 48 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 July 2026
What services does Regatta Capital Group offer?
Regatta Capital Group provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, education planning, estate planning, and philanthropic planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Regatta Capital Group charge?
Regatta Capital Group charges 0.30%–1.20% for its Wealth Management Services. The brochure does not state whether the rate is annual. The fee is billed in advance and is negotiable.
Which custodians does Regatta Capital Group use?
Regatta Capital Group’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $1.38B. 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
How many financial advisors does Regatta Capital Group have?
Regatta Capital Group has 14 investment adviser representatives registered with state securities authorities, out of 18 employees, and 14 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Regatta Capital Group invest in?
At the end of its last fiscal year, Regatta Capital Group’s separately managed accounts held 57% registered funds (mutual funds, ETFs, BDCs), 16% exchange-traded equities, 12% pooled vehicles (private funds and similar), 12% cash and equivalents, 2% non-exchange-traded equities and 1% U.S. government and agency bonds. It advises 4 private funds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Regatta Capital Group?
Regatta Capital Group’s direct owners are Russell Mohberg, Spencer Kelly, Nicholas Ozer and Britt Joyce, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 31 July 2026
How does Regatta Capital Group get paid?
Regatta Capital Group is paid through a percentage of assets under management, hourly charges, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Regatta Capital Group registered with the SEC?
Yes, Regatta Capital Group has been registered with the SEC as an investment adviser since 13 November 2007. Its CRD number is 145363 and its SEC file number is 801-68490.
Source: Form ADV Part 1A, Item 1, filed 31 July 2026; IAPD firm record
How do I contact Regatta Capital Group?
Regatta Capital Group’s main office is at 880 Apollo St., Suite 129, El Segundo, CA 90245. Its phone number is 310-725-9102. Its website is regattainvest.com.