DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Regatta Research & Money Management L.L.C.
Latest filing May 20, 2026
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since Jul 3, 2001
RAUM
$211M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$210M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$35.2M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$211M as of May 20, 2026
Mar 29, 2012$112M then
HNW client RAUM$7.0M as of May 20, 2026
Mar 29, 2018$44.2M then
State-registered IARs (5.B.3)6 as of May 20, 2026
Mar 28, 20130 then
Employees (5.A)8 as of May 20, 2026
Mar 28, 20138 then
Private funds: no history
RAUM +12% over the last fiscal year+11% a year over threeIARs 6 to 6offices 2 to 1
Practice profile
derived from the filing of May 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $35.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $117,477derivedHNW RAUM over HNW clients
- Average account
- $154,250derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +22%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $2.7M, 13 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$203M96%
- High-net-worth individuals$7.0M3.3%
- Corporations and businesses$1.4M0.7%
- Individual clients
- 490reported
- HNW clients
- 60reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,371reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.7M for 13 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Claudia M HaydenCertified Financial Planner | Metairie, La | Jul 1, 2004 | 26 y | 1 |
| Andrew Valentine Pool | Metairie, La | Jul 1, 2004 | 25 y | 1 |
| Rudy Jerome BlanchardCertified Financial Planner | Metairie, La | Jul 6, 2004 | 28 y | 0 |
| Eric Arthur Greschner | Metairie, La | Jul 15, 2004 | 30 y | 0 |
| Blair M Barbier | Metairie, La | Jul 19, 2004 | 26 y | 0 |
| Douglas W Thompson | Baton Rouge, La | Nov 17, 2014 | 19 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Amy Michele Zamikovsky to Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 17, 2014 · Other
- Wesley Joseph Kubesch to Galapagos Wealth Management, LLCJul 6, 2009 · Other
Joined, latest
- Claudia M Hayden from Equitable Advisors, LLCJul 1, 2004 · Other
- Andrew Valentine Pool from Waddell & ReedJul 1, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jerome Rudy Blanchard · Portfolio Managercontrolsince 01/2000 · owns 25% to 50%
- Arthur Eric Greschner · Portfolio Managercontrolsince 07/1997 · owns 50% to 75%
- Wooley Deanna Richmond · Chief Compliance Officercontrolsince 11/2018 · owns less than 5%
Related persons
Schedule D 7.A
- Priority Funds LLCpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Metairie, La · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Baton Rouge, LA1 employees
- Boca Raton, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 60.0% to 3.0% between the annual amendments of 2025-03-18 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,399 to 1,371Mar 18, 2025 to Mar 30, 2026
- Corporate clients · 14 to 4Mar 18, 2025 to Mar 30, 2026
- HNW clients · 46 to 60Mar 18, 2025 to Mar 30, 2026
- Individual clients · 404 to 490Mar 18, 2025 to Mar 30, 2026
- Assets in custody · $2.1M to $2.7MMar 18, 2025 to Mar 30, 2026
- Financial planning clients · 51-100 to 26-50Mar 18, 2025 to Mar 30, 2026
- Other offices · 2 to 1Mar 18, 2025 to Mar 30, 2026
- Discretionary RAUM · $188M to $211MMar 18, 2025 to Mar 30, 2026
- HNW RAUM · $112M to $7.0MMar 18, 2025 to Mar 30, 2026
- Individual RAUM · $59.9M to $203MMar 18, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $173,365 to $387,644Mar 18, 2025 to Mar 30, 2026
- RAUM · $188M to $211MMar 18, 2025 to Mar 30, 2026
- Accounts · 1,621 to 1,399Mar 26, 2024 to Mar 18, 2025
- Corporate clients · 10 to 14Mar 26, 2024 to Mar 18, 2025
- HNW clients · 40 to 46Mar 26, 2024 to Mar 18, 2025
- Assets in custody · $2.6M to $2.1MMar 26, 2024 to Mar 18, 2025
- Financial planning clients · 51-100 to 51-100Mar 26, 2024 to Mar 18, 2025
- Discretionary RAUM · $172M to $188MMar 26, 2024 to Mar 18, 2025
- HNW RAUM · $95.8M to $112MMar 26, 2024 to Mar 18, 2025
- Individual RAUM · $67.8M to $59.9MMar 26, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $174,529 to $173,365Mar 26, 2024 to Mar 18, 2025
- RAUM · $173M to $188MMar 26, 2024 to Mar 18, 2025
- Accounts · 1,413 to 1,621Nov 2, 2023 to Mar 26, 2024
- Advisory employees · 4 to 6Nov 2, 2023 to Mar 26, 2024
- Advisory activities · 8 to 7Nov 2, 2023 to Mar 26, 2024
- Charity clients · unset to 0.0Nov 2, 2023 to Mar 26, 2024
- Corporate clients · 9 to 10Nov 2, 2023 to Mar 26, 2024
- HNW clients · 57 to 40Nov 2, 2023 to Mar 26, 2024
- Individual clients · 1,342 to 404Nov 2, 2023 to Mar 26, 2024
- Pension plan clients · 5 to 0Nov 2, 2023 to Mar 26, 2024
- Assets in custody · $3.3M to $2.6MNov 2, 2023 to Mar 26, 2024
- Employees · 6 to 8Nov 2, 2023 to Mar 26, 2024
- Financial planning clients · 26-50 to 51-100Nov 2, 2023 to Mar 26, 2024
- State-registered IARs · 4 to 6Nov 2, 2023 to Mar 26, 2024
- Discretionary RAUM · $153M to $172MNov 2, 2023 to Mar 26, 2024
- HNW RAUM · $78.3M to $95.8MNov 2, 2023 to Mar 26, 2024
- Individual RAUM · $65.2M to $67.8MNov 2, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $156,796 to $174,529Nov 2, 2023 to Mar 26, 2024
- Pension RAUM · $3.6M to $0Nov 2, 2023 to Mar 26, 2024
- RAUM · $153M to $173MNov 2, 2023 to Mar 26, 2024
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/regatta-research-&-money-management-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- REGATTARESEARCH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 504-831-4636reportedpublic record, Form ADV, May 20, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $35.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026