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.

Current firm

REGAL CAPITAL MANAGEMENT, INC.

Current firm class

state registeredderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Feb 16, 2001earliest registration or exam on IAPD

Years in industry

25derivedfrom the industry start date

Years at current firm

23derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S63

First exam

Feb 16, 2001

First registration

Apr 5, 2002

Dual registered

no

IAPD individual key

4325482

Graph

RIA / Wealth Management

Canonical id

dfx:ria:53abc66c-84a6-a969-4170-ed56a4e4acb6

First observed

Apr 5, 2002

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed 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.