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CRD 145363
EL SEGUNDO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| RUSSELL RALPH MOHBERG | Certified Financial Planner | EL SEGUNDO, CA | 18 | 25 | 1 | no |
| SPENCER SOUTHARD KELLY | n/a | EL SEGUNDO, CA | 17 | 22 | 1 | no |
| NICHOLAS KELLY OZER | Certified Financial Planner | EL SEGUNDO, CA | 11 | 13 | 2 | no |
| Ellen Jo Himmel | n/a | EL SEGUNDO, CA | 9 | 19 | n/a | no |
| BRITT MORGAN JOYCE | Chartered Financial Analyst | EL SEGUNDO, CA | 9 | 11 | 2 | no |
| LINDSEY DIRANIAN | n/a | EL SEGUNDO, CA | 6 | 10 | 2 | no |
| Erika Shayne Jenkins | n/a | EL SEGUNDO, CA | 5 | 10 | n/a | no |
| Lee Henry Clay | n/a | NEW VERNON, NJ | 4 | 18 | n/a | no |
| JOHN STEPHEN MCCORMICK | Certified Financial Planner | EL SEGUNDO, CA | 3 | 27 | 3 | no |
| BENJAMIN N SATTERFIELD | n/a | EL SEGUNDO, CA | SANDY, UT | 3 | 20 | n/a | no |
| LISA ANN MARGULIES | n/a | EL SEGUNDO, CA | YORK, PA | 3 | 21 | 2 | no |
| Grant Christian Nabell | n/a | EL SEGUNDO, CA | 3 | 11 | n/a | no |
| CHLOE LEE BARNETT | Certified Financial Planner | EL SEGUNDO, CA | 1 | 10 | 1 | no |
| Joshua Irving Miller | n/a | EL SEGUNDO, CA | STUDIO CITY, CA | 0 | 10 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| REGATTA VENTURES FUND I, LP | Venture Capital Fund | $11.3M | Jul 31, 2026 | 160 | Mar 28, 2022 | reported | 021-428131 |
| REGATTA SLING VENTURES FUND I QP, LP | Venture Capital Fund | $2.3M | Jul 31, 2026 | 10 | Jul 1, 2024 | reported | 021-512236 |
| REGATTA SLING VENTURES FUND I, LP | Venture Capital Fund | $1.2M | Jul 31, 2026 | 9 | Jul 1, 2024 | reported | 021-512238 |
| REGATTA VENTURES EPIC SPV, LLC | Venture Capital Fund | $473,266 | Jul 31, 2026 | 22 | Mar 29, 2023 | reported | 021-449807 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| KELLY, SPENCER, SOUTHARD | PRINCIPAL, MANAGING MEMBER, CO- FOUNDER, PARTNER, AND HEAD OF ADVISORY SERVICES | C | yes | 04/2008 | Jul 31, 2026 | Jul 31, 2026 |
| MOHBERG, RUSSELL, RALPH | MANAGING MEMBER, CO-FOUNDER, PARTNER, AND CHIEF COMPLIANCE OFFICER | C | yes | 09/2007 | Jul 31, 2026 | Jul 31, 2026 |
| OZER, NICHOLAS, KELLY | PARTNER, FINANCIAL ADVISOR, AND DIRECTOR OF RETIREMENT PLANS FOUNDATIONS | A | yes | 05/2015 | Jul 31, 2026 | Jul 31, 2026 |
| JOYCE, BRITT, MORGAN | CO-CIO & DIRECTOR OF ENDOWMENTS & FOUNDATIONS | A | yes | 01/2023 | Apr 13, 2023 | Oct 30, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| REGATTA SLING VENTURES I GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| REGATTA VENTURES FUND I GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| STUDIO CITY | CA | United States | 3 | no |
| LOS ANGELES | CA | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 10, 2026 | $1.6B | $1.4B | 18 | 14 | 5 | 4 | n/a |
| 2024 | Mar 21, 2025 | $1.4B | $1.3B | 16 | 14 | 5 | 4 | n/a |
| 2023 | Mar 28, 2024 | $1.2B | $982M | 16 | 14 | 6 | 2 | $11.4M |
| 2022 | Mar 29, 2023 | $931M | $785M | 17 | 16 | 6 | 2 | $6.3M |
| 2021 | Mar 28, 2022 | $919M | $765M | 15 | 14 | 3 | 1 | $10.5M |
| 2020 | Mar 26, 2021 | $683M | $564M | 12 | 12 | 2 | n/a | n/a |
| 2019 | Feb 7, 2020 | $487M | $392M | 12 | 9 | 2 | n/a | n/a |
| 2018 | Mar 20, 2019 | $324M | $234M | 11 | 8 | 2 | n/a | n/a |
| 2017 | Mar 8, 2018 | $290M | $219M | 9 | 7 | 2 | n/a | n/a |
| 2016 | Feb 24, 2017 | $210M | $141M | 8 | 7 | n/a | n/a | n/a |
| 2015 | Feb 27, 2016 | $166M | $103M | 6 | 5 | n/a | n/a | n/a |
| 2014 | Mar 21, 2015 | $151M | $97.3M | 5 | 4 | n/a | n/a | n/a |
| 2013 | Mar 5, 2014 | $123M | $73.2M | 4 | 3 | n/a | n/a | n/a |
| 2012 | Feb 6, 2013 | $105M | $45.3M | 4 | 3 | n/a | n/a | n/a |
| 2011 | Jan 18, 2012 | $76.4M | $21.1M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 1 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.6B | $1.4B | 13.4% | $931M | 18.5% | 18 | 16 | 5 | 5 |