Regency Capital Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and portfolio management for institutions. Financial planning was provided to 101–250 clients last fiscal year. The firm advises 1 private fund.
Regency Capital Management reports 127 clients. They include 69 high-net-worth individuals, 47 individual clients, and 4 corporations and other businesses. Of its assets, 100.0% ($364M across 371 accounts) are managed with discretion. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 37% | 5% |
| High-net-worth individuals | 54% | 90% |
| Banking or thrift institutions | Fewer than 5 | 0% |
| Pooled investment vehicles | <1% | 1% |
| Pension and profit-sharing plans | 2% | <1% |
| Other client typesCharitable organizations; State or municipal government entities; Other investment advisers; Insurance companies; Sovereign wealth funds and foreign official institutions; Corporations and other businesses | 6% | 3% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 47 | $17.8M | 4.9% | $378K |
| High-net-worth individuals | 69 | $326M | 89.6% | $4.73M |
| Banking or thrift institutions | Fewer than 5 | $0 | 0.0% | — |
| Pooled investment vehicles | 1 | $5.3M | 1.5% | $5.3M |
| Pension and profit-sharing plans | Fewer than 5 | $2.4M | 0.7% | $800K |
| Charitable organizations | Fewer than 5 | $3.98M | 1.1% | $1.33M |
| State or municipal government entities | Fewer than 5 | $0 | 0.0% | — |
| Other investment advisers | Fewer than 5 | $0 | 0.0% | — |
| Insurance companies | Fewer than 5 | $0 | 0.0% | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | $0 | 0.0% | — |
| Corporations and other businesses | Fewer than 5 | $8.52M | 2.3% | $2.13M |
| Total | 127 | $364M | 100% | — |
- Clients
- 47
- Regulatory AUM
- $17.8M
- AUM share
- 4.9%
- Avg. per client
- $378K
- Clients
- 69
- Regulatory AUM
- $326M
- AUM share
- 89.6%
- Avg. per client
- $4.73M
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- 1
- Regulatory AUM
- $5.3M
- AUM share
- 1.5%
- Avg. per client
- $5.3M
- Clients
- Fewer than 5
- Regulatory AUM
- $2.4M
- AUM share
- 0.7%
- Avg. per client
- $800K
- Clients
- Fewer than 5
- Regulatory AUM
- $3.98M
- AUM share
- 1.1%
- Avg. per client
- $1.33M
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $8.52M
- AUM share
- 2.3%
- Avg. per client
- $2.13M
Total
- Clients
- 127
- Regulatory AUM
- $364M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 1
- Financial planning clients last fiscal year
- 101–250
Regency Capital Management is paid through a percentage of assets under management. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Regency Acquisitions LLC owns 75% or more of Regency Capital Management and is in turn owned by Rose, Neil, Taylor (50–75%). The leadership team of Regency Capital Management includes President Arthur Mallet. It has 5 employees, 2 of them in advisory roles.
Staff
- 5 employees
- 2 in advisory functions
- 2 state-registered reps
- Owns 75% or more of Regency Capital Management Inc.
Regency Acquisitions LLC
Control person · since December 2020
- Owns 50% to 75% of Regency Acquisitions LLC
Rose, Neil, Taylor
Control person · since December 2020
- Owns 50% to 75% of Regency Capital Management Inc.
Neil Rose
Control person · since December 2020
Regency Capital Management’s regulatory assets grew from $274M (April 2021) to $364M (March 2026); clients rose from 46 to 127 and employees from 4 to 5.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $364M | 127 | 5 | 2 |
| Mar 2025March 2025 | $304M | 99 | 4 | 2 |
| Mar 2024March 2024 | $279M | 90 | 4 | 2 |
| Mar 2023March 2023 | $247M | 67 | 5 | 2 |
| Mar 2022March 2022 | $259M | 52 | 4 | 2 |
| Apr 2021April 2021 | $274M | 46 | 4 | 1 |
Besides its headquarters, Regency Capital Management has 1 office, with 2 listed addresses across 2 states.
Hawaii · 1 listed address
- 1001 Bishop Street, Suite 1090, HonoluluHQ
Washington · 1 listed address
- 500 Winslow Way E, Bainbridge Island
Contact and registration details
- Legal name
- Regency Capital Management Inc.
- Headquarters
- 1001 Bishop Street, Suite 1090, Honolulu, HI 96813
- Website
- regencycm.com
- Phone
- 808-451-3193
- @regency-capital-management
- SEC file
- 801-120277
- Founded
- 2021
- Structure
- Delaware corporation
- Fiscal year end
- December
Regency Capital Management’s named custodian for separately managed accounts is Charles Schwab ($244M). Regency Capital Management does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $244M100%
At year end, Regency Capital Management’s separately managed accounts were mostly in stocks (55%) and bonds (29%).
What the accounts hold
- Stocks55%
- Funds13%
- Bonds29%
- U.S. government and agency bonds18%
- Investment grade corporate bonds11%
- Cash3%
How many clients does Regency Capital Management have?
Regency Capital Management has 127 clients and manages $364 million for them, as of March 2026. They include 69 high-net-worth individuals, 47 individual clients, and 4 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 4 March 2026
What services does Regency Capital Management offer?
Regency Capital Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Regency Capital Management use?
Regency Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $244M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 March 2026
How many financial advisors does Regency Capital Management have?
Regency Capital Management has 2 investment adviser representatives registered with state securities authorities, out of 5 employees, and 2 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 Regency Capital Management invest in?
At the end of its last fiscal year, Regency Capital Management’s separately managed accounts held 55% exchange-traded equities, 18% U.S. government and agency bonds, 13% registered funds (mutual funds, ETFs, BDCs), 11% investment grade corporate bonds and 3% cash and equivalents. It advises 1 private fund.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Regency Capital Management?
Regency Capital Management is owned through a holding company by Rose, Neil, Taylor. Its direct owners are Regency Acquisitions LLC (75% or more) and Neil Rose (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 4 March 2026
How does Regency Capital Management get paid?
Regency Capital Management is paid through a percentage of assets under management. 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
How do I contact Regency Capital Management?
Regency Capital Management’s main office is at 1001 Bishop Street, Suite 1090, Honolulu, HI 96813. Its phone number is 808-451-3193. Its website is regencycm.com.