DFX Intelligence

B•• C••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

B•• C••••••• L••

CRD 289812

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:a098d808-d45a-f2b1-0639-87ee38e84322

Data as of Jan 23, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 1, 2018 to Jan 23, 2019
8 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 5
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• C••••• M•••••	PRESIDENT AND CCO	D	yes	03/2016	May 1, 2018	Jan 23, 2019
H•••• J•••••• M••••••	Ceo	C	yes	03/2016	May 1, 2018	Jan 23, 2019

Relationships

Controls (2)

← C••••• C••••• M•••••OwnerPRESIDENT AND CCO, ownership code D, individual
May 1, 2018 to presentfactForm ADV
← H•••• J•••••• M••••••OwnerCEO, ownership code C, individual
May 1, 2018 to presentfactForm ADV

Owns (1)

← C•••••••• C••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jan 23, 2019 to presentfactForm ADV

Registered with (1)

← Eric Steven Tesler

Dated events

Occurred
May 1, 2018
First Form ADV filing
Regatta Asset Management filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a098d808-d45a-f2b1-0639-87ee38e84322
First observed: May 1, 2018
Last observed: Jan 23, 2019 93 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.