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.

Former SEC-registered adviser

Regal Advisory Services, Inc.

Former SEC-registered adviserWoodland Hills, CaliforniaCRD 119445SEC 801-61358IAPD
Latest filing Jun 5, 2012
First filing on the tape Mar 5, 2012 · 3 filings
RAUM
$48.2M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$48.2M as of Jun 5, 2012
Mar 5, 2012$48.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 5, 2012
Mar 5, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 5, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$214,431derivedRAUM over accounts (5.F.2.f)
Discretionary
75%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
225reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Thomas Jason Griffin · Chief Compliance Officer/Iarcontrol
      since 02/2006 · owns less than 5%
    • Marie Lisa Lyons · Principal/Iarcontrol
      since 01/1997 · owns 75% or more
    Related persons
    Schedule D 7.A
    • Regal Services Insurance Agency
      real estaten
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Redlands, Ca001
    Woodland Hills, Ca · principal004
    Offices
    Schedule D 1.F, the 25 largest
    • Seal Beach, CA
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    6 dated events
    • Lisa Marie Lyons left Regal Advisory Services, Inc. for Osaic Wealth, Inc. (registered 2015-02-26)
      Mar 6, 2026 · Advisor changed firm · fact
    • Jason Thomas Griffin left Regal Advisory Services, Inc. for Osaic Wealth, Inc. (registered 2015-02-26)
      Mar 6, 2026 · Advisor changed firm · fact
    • Thomas Jung Jin Kim left Regal Advisory Services, Inc. for Osaic Wealth, Inc. (registered 2005-08-15)
      Mar 6, 2026 · Advisor changed firm · fact
    • Eric Gregory Scheinbaum left Regal Advisory Services, Inc. for Osaic Wealth, Inc. (registered 2012-05-18)
      Mar 6, 2026 · Advisor changed firm · fact
    • George Peralta Mendoza no longer registered at Regal Advisory Services, Inc.; no later IA registration on IAPD
      Mar 6, 2026 · Advisor departure · fact
    • Regal Advisory Services, Inc.'s advisors moved to Osaic Wealth, Inc. (Woodland Hills, CA): 4 of 5 registered, on the same day
      Mar 6, 2026 · Firm absorbed (people side) · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026