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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

REGAL WEALTH MANAGEMENT, LLC

CRD 305480

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:336df2d7-7614-c133-3733-99f03c62d79d

Data as of Feb 16, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Aug 20, 2019 to Feb 16, 2021
12 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $115MItem 5.F on the latest filing (2021-02-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $114M
Private client RAUM: $115MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 135
Individual clients: 22
High net worth clients: 36
Custody, client assets: $500,000
SEC number: 801-117357
CRD: 305480
Filings on the tape: 12
First filed: Aug 20, 2019
Latest filed: Feb 16, 2021
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BELL, JASON, ANDREW	CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR	Na	yes	11/2019	Nov 8, 2019	Feb 16, 2021
KLARBERG, BARRY, JOSEPH	Member	F	yes	12/2010	Aug 20, 2019	Feb 16, 2021
KLARBERG, BARRY, JOSEPH	CHIEF EXECUTIVE OFFICER	Na	yes	08/2019	Aug 20, 2019	Feb 16, 2021
REGAL WEALTH HOLDINGS, LLC	MANAGING MEMBER	E	yes	11/2019	Nov 8, 2019	Feb 16, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MONARCH BUSINESS AND WEALTH MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Feb 16, 2021	$115M	$114M	4	3	0	n/a	n/a
2019	Mar 17, 2020	$91.0M	$91.0M	4	3	0	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$115M	$91.0M	26.0%	n/a	n/a	4	4	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MAI CAPITAL MANAGEMENT, LLC	2	Dec 21, 2021	Dec 23, 2021	NEW YORK, NY	Team lift out	RIA to RIA	100.0%

Relationships

Controls (3)

← KLARBERG, BARRY, JOSEPHOwnerMEMBER, ownership code F, individual
Aug 20, 2019 to presentfactForm ADV
← BELL, JASON, ANDREWOwnerCHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR, ownership code NA, individual
Nov 8, 2019 to presentfactForm ADV
← REGAL WEALTH HOLDINGS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Nov 8, 2019 to presentfactForm ADV

Moved with (1)

→ MAI CAPITAL MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
Dec 21, 2021 to Dec 23, 2021factForm ADV

Registered with (2)

← BARRY JOSEPH KLARBERGAdvisorregistration: previous registration
Feb 26, 2020 to Dec 21, 2021factForm ADV
← JASON ANDREW BELLAdvisorregistration: previous registration
Mar 11, 2020 to Dec 21, 2021factForm ADV

Dated events

Occurred
Nov 8, 2019
Control person joined
Andrew Jason Bell (Chief Compliance Officer / Investment Advisor Representative) appeared on Schedule A of Regal Wealth Management, Llc
Form ADVobserved 5 days ago
Occurred
Aug 20, 2019
First Form ADV filing
Regal Wealth Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:336df2d7-7614-c133-3733-99f03c62d79d
First observed: Aug 20, 2019
Last observed: Feb 16, 2021 68 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

REGAL WEALTH MANAGEMENT, LLC

CRD 305480

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:336df2d7-7614-c133-3733-99f03c62d79d

Data as of Feb 16, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:13 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BELL, JASON, ANDREW

CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR

yes

11/2019

Nov 8, 2019

Feb 16, 2021

KLARBERG, BARRY, JOSEPH

Member

yes

12/2010

Aug 20, 2019

Feb 16, 2021

KLARBERG, BARRY, JOSEPH

CHIEF EXECUTIVE OFFICER

yes

08/2019

Aug 20, 2019

Feb 16, 2021

REGAL WEALTH HOLDINGS, LLC

MANAGING MEMBER

yes

11/2019

Nov 8, 2019

Feb 16, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MONARCH BUSINESS AND WEALTH MANAGEMENT LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Feb 16, 2021

$115M

$114M

n/a

2019

Mar 17, 2020

$91.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$115M

$91.0M

26.0%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MAI CAPITAL MANAGEMENT, LLC

Dec 21, 2021

Dec 23, 2021

NEW YORK, NY

Team lift out

RIA to RIA

100.0%