Regency Financial Group
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$31,409,791
Clients
174
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
174
Very HighAverage account size
$180,516
About
Regency Financial Group provides asset management and comprehensive financial planning to individuals, high-net-worth clients, and corporate pension and profit-sharing plans. The firm’s services include net worth analyses, retirement, income tax and cash-flow planning, estate and college needs planning, and investment analyses.
The firm emphasizes a long-term, diversified approach implemented through a written investment policy statement that sets minimum and maximum inclusion levels and guides discretionary trading. Investment decisions are informed primarily by fundamental economic factors (with technical analysis and fund prospectus review considered) and the firm’s implementation toolkit includes long- and short-term purchases, active trading, margin transactions, short sales and option writing.
Distinctive features include the principal’s combination of advanced academic and professional credentials — including a Ph.D., J.D., M.F.E. and CFP certification — and ongoing work as an adjunct instructor, together with licensure as a California real estate broker. The firm manages about $31.4 million on a discretionary basis, does not receive soft-dollar benefits or accept client-referral compensation, and coordinates with other professionals (CPAs and estate attorneys) when implementing client plans.
Client services
Portfolio management
Expertise
General retirement planning
Income planning
General tax planning
College savings (529s, UTMA, etc.)
Fee options
$0 - $10,000,000: 0.45% annually Over $10,000,000+: 0.35% annually
$600 per hour for financial planning services
Main office location
Regency Financial Group
La Crescenta CA, United States
Number of offices
1
Most active in
Regency Financial Group has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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