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
Regal Advisory Services, Inc.
Latest filing Jul 31, 2026
First filing on the tape Nov 8, 2011 · 83 filings
SEC status approved since Jul 12, 2010
RAUM
$121M
reported, Item 5.F
Discretionary
53%
of RAUM
Private clients
78%
$95.2M individuals and HNW
Advisors
24
registered through the firm on IAPD
RAUM per advisor
$5.1M
derived; firm RAUM over IAPD count
Employees
25
16 advisory (5.B.1)
Offices
12
beyond the principal office
Private funds
0
reported on Schedule D
History
83 filings and snapshots on the tape
RAUM$121M as of Jul 31, 2026
Feb 7, 2012$37.6M then
HNW client RAUM$49.1M as of Jul 31, 2026
Mar 28, 2018$41.9M then
State-registered IARs (5.B.3)24 as of Jul 31, 2026
Feb 7, 20120 then
Employees (5.A)25 as of Jul 31, 2026
Mar 20, 201334 then
Private funds: no history
RAUM +7.0% over the last fiscal year+9.5% a year over threeIARs 24 to 24offices 11 to 12
Practice profile
derived from the filing of Jul 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $5.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $443,175derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 53%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.8derived13 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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
- High-net-worth individuals$49.1M40%
- Individuals$46.1M38%
- Corporations and businesses$26.2M22%
- Individual clients
- 224reported
- HNW clients
- 45reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 274reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=22.0derived
Advisors registered through the firm
24 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Skaiste Aksomitaite | Glenview, Il | Dec 15, 2005 | 21 y | 0 |
| George Bokios | Ft. Myers, Fl | Jul 26, 2006 | 53 y | 0 |
| Robert Paul Green | Glenview, Il | Apr 17, 2007 | 26 y | 0 |
| Steven Maier Smith | Little Rock, Ar | Jul 25, 2007 | 43 y | 2 |
| David George Garcia | Glenview, Il | Jun 29, 2010 | 28 y | 0 |
| John Reyna | Scottsdale, Az | Sep 1, 2010 | 44 y | 2 |
| Jerry Wayne Ludwig | Bryan, Tx | Jul 23, 2012 | 42 y | 2 |
| Marilyn P Carter-Hogan | Farmington Hills, Mi | Aug 7, 2012 | 35 y | 2 |
| Scott Kendall Branson | Knoxville, Tn | Aug 16, 2012 | 34 y | 3 |
| Jeffry Scott Livingston | Chicago, Il | Apr 16, 2014 | 29 y | 3 |
| Gregory Scott Knight | Glenview, Il | Jan 29, 2015 | 33 y | 1 |
| Kevin John Stemberger | Glenview, Il | Mar 31, 2015 | 40 y | 2 |
| Arthur Dennis Frasca | Glenview, Il | Apr 7, 2015 | 42 y | 2 |
| Steven Mark Grabarczyk | Glenview, Il | Jun 3, 2016 | 38 y | 2 |
| John Vance Kloster | Glenview, Il | Aug 15, 2016 | 42 y | 1 |
| Keith Joseph Mcgrath | Manasquan, Nj | Jul 28, 2017 | 32 y | 0 |
| Christos Athanasios Oakley | Orlando, Fl | Jan 17, 2018 | 20 y | 0 |
| Ross Furman | Miami, Fl | Aug 24, 2020 | 29 y | 0 |
| Timothy Joseph Taschler | Oro Valley, Az | Oct 12, 2022 | 23 y | 4 |
| Michael Gerard Hickey | Glenview, Il | Oct 26, 2023 | 38 y | 5 |
| Mark Coverdale | Bryan, Tx | Jun 18, 2024 | 16 y | 0 |
| George James Carroll | Glenview, Il | Oct 24, 2024 | 10 y | 0 |
| Scott Ervin Goerner | San Juan Capistrano, Ca | Sep 3, 2025 | 11 y | 0 |
| James Francis Madigan | Glenview, Il | Jan 6, 2026 | 32 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Andrew R Zimmer to Simplicity WealthOct 2, 2024 · Other
- Barbara Gayle Deboer to Greenup Street Wealth Management LLCAug 2, 2023 · RIA to RIA
- Anthony Michael Schmitt to Greenup Street Wealth Management LLCApr 9, 2021 · RIA to RIA
- Andrew Christopher Yost to LPL Financial LLCMar 3, 2021 · RIA to affiliated broker-dealer or bank
- Anthony Charles Rosso to LPL Financial LLCMar 2, 2021 · RIA to affiliated broker-dealer or bank
- Sean Thomas Keating to LPL Financial LLCMar 2, 2021 · RIA to affiliated broker-dealer or bank
- Michael Terrence Sullivan to LPL Financial LLCMar 2, 2021 · RIA to affiliated broker-dealer or bank
- Leslie K Curran to LPL Financial LLCMar 2, 2021 · RIA to affiliated broker-dealer or bank
- Brian Charles Laux to LPL Financial LLCMar 2, 2021 · RIA to affiliated broker-dealer or bank
- Dorothea Danielle Zando to LPL Financial LLCMar 2, 2021 · RIA to affiliated broker-dealer or bank
- Jason Raymond Steeno to Corecap AdvisorsApr 3, 2020 · RIA to affiliated broker-dealer or bank
- Steven Craig Ingram to Financial Management Strategies, Inc.Dec 12, 2019 · RIA to RIA
- Veronica Lynn Jolliff to Fidelity Personal And Workplace AdvisorsJun 17, 2019 · RIA to affiliated broker-dealer or bank
- Douglas Eric Dial to Capital Partners Investment GroupApr 11, 2018 · RIA to a state-registered adviser
- John Christopher Shibles to Commonwealth Financial NetworkMar 10, 2017 · Other
Joined, latest
- James Francis Madigan from Wells Fargo AdvisorsJan 6, 2026 · Wirehouse to independent RIA
- Michael Gerard Hickey from Level Four Advisory ServicesOct 26, 2023 · Affiliated broker-dealer or bank to independent RIA
- Timothy Joseph Taschler from Sprott Asset Management USA Inc.Oct 12, 2022 · RIA to RIA
- Andrew R Zimmer from Sage Private Wealth Group, LLCJan 8, 2021 · RIA to RIA
- Anthony Michael Schmitt from Spotlight Asset GroupNov 6, 2019 · RIA to RIA
- Jason Raymond Steeno from Scottrade Investment ManagementSep 24, 2019 · Affiliated broker-dealer or bank to independent RIA
- Brian Charles Laux from Victory Capital Management Inc.Nov 26, 2018 · Other
- Leslie K Curran from Buckman Advisory Group LLCMar 14, 2018 · Other
- Sean Thomas Keating from Gwn Securities Inc.Oct 28, 2016 · Other
- John Vance Kloster from Kloster Capital Management,L.L.C.Aug 15, 2016 · Other
- Douglas Eric Dial from Advisornet Wealth PartnersApr 5, 2016 · Other
- Jill Kaz from Securian Financial Services, Inc.Mar 24, 2016 · Other
- Arthur Dennis Frasca from Commerce Wealth Advisers, LLCApr 7, 2015 · Other
- Kevin John Stemberger from Commerce Wealth Advisers, LLCMar 31, 2015 · Other
- Gregory Scott Knight from Brookstreet Securities CorporationJan 29, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for LPL Financial LLCMar 2, 2021 · Glenview, Il
- 2 left for LPL Financial LLCMar 2, 2021 · Sea Girt, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Skaiste Aksomitaite · Secretary / Treasurercontrolsince 10/2007 · owns less than 5%
- George Bokios · Shareholdercontrolsince 04/2001 · owns 50% to 75%
- George Basil Joseph · Ccocontrolsince 10/2024 · owns less than 5%
- George Bokios · Grantorcontrolsince 12/2012 · owns 75% or more of Bokios 2012 Dynasty Trust
- Theadora Victoria Bokios · Trusteesince 12/2012 · owns less than 5%
Entity owners
- Bokios 2012 Dynasty Trust · Shareholderdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- Regal Securities, Inc.broker-dealerreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Glenview, Il · principal | 17 | 1 | 0 | ||
| Farmington Hills, Mi | 4 | 0 | 0 | ||
| Bryan, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Farmington Hills, MI4 employees
- Ft. Myers, FL2 employees
- Bryan, TX1 employees
- Bonita Springs, FL1 employees
- , 1 employees
- Manasquan, NJ1 employees
- Bixby, OK1 employees
- , 1 employees
- Orlando, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 19, 2026discretionary share of RAUM moved from 37.0% to 53.0% between the annual amendments of 2025-03-27 and 2026-03-19peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 289 to 274Dec 23, 2025 to Mar 19, 2026
- Advisory employees · 15 to 16Dec 23, 2025 to Mar 19, 2026
- Corporate clients · unset to 5.0Dec 23, 2025 to Mar 19, 2026
- HNW clients · 41 to 45Dec 23, 2025 to Mar 19, 2026
- Individual clients · 244 to 224Dec 23, 2025 to Mar 19, 2026
- Employees · 24 to 25Dec 23, 2025 to Mar 19, 2026
- Discretionary RAUM · $42.4M to $64.4MDec 23, 2025 to Mar 19, 2026
- HNW RAUM · $47.5M to $49.1MDec 23, 2025 to Mar 19, 2026
- Individual RAUM · $48.1M to $46.1MDec 23, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $71.2M to $57.0MDec 23, 2025 to Mar 19, 2026
- RAUM · $114M to $121MDec 23, 2025 to Mar 19, 2026
- Other offices · 11 to 12Oct 16, 2025 to Dec 23, 2025
- Other offices · 12 to 11Aug 15, 2025 to Oct 16, 2025
- Financial planning clients · 11-25 to 11-25Mar 27, 2025 to Jul 21, 2025
- Other offices · 11 to 12Mar 27, 2025 to Jul 21, 2025
- Accounts · 284 to 289Jan 30, 2025 to Mar 27, 2025
- Advisory employees · 17 to 15Jan 30, 2025 to Mar 27, 2025
- BD registered reps · 21 to 22Jan 30, 2025 to Mar 27, 2025
- HNW clients · 44 to 41Jan 30, 2025 to Mar 27, 2025
- Individual clients · 237 to 244Jan 30, 2025 to Mar 27, 2025
- Other offices · 13 to 11Jan 30, 2025 to Mar 27, 2025
- Discretionary RAUM · $38.6M to $42.4MJan 30, 2025 to Mar 27, 2025
- HNW RAUM · $42.0M to $47.5MJan 30, 2025 to Mar 27, 2025
- Individual RAUM · $42.9M to $48.1MJan 30, 2025 to Mar 27, 2025
- Non-discretionary RAUM · $70.2M to $71.2MJan 30, 2025 to Mar 27, 2025
- RAUM · $109M to $114MJan 30, 2025 to Mar 27, 2025
- Accounts · 265 to 284Dec 21, 2023 to Mar 26, 2024
- Advisory employees · 16 to 17Dec 21, 2023 to Mar 26, 2024
- BD registered reps · 22 to 21Dec 21, 2023 to Mar 26, 2024
- HNW clients · 35 to 44Dec 21, 2023 to Mar 26, 2024
- Individual clients · 227 to 237Dec 21, 2023 to Mar 26, 2024
- Employees · 25 to 24Dec 21, 2023 to Mar 26, 2024
- Financial planning clients · 0 to 11-25Dec 21, 2023 to Mar 26, 2024
- State-registered IARs · 25 to 24Dec 21, 2023 to Mar 26, 2024
- Discretionary RAUM · $33.5M to $38.6MDec 21, 2023 to Mar 26, 2024
- HNW RAUM · $32.1M to $42.0MDec 21, 2023 to Mar 26, 2024
- Individual RAUM · $41.8M to $42.9MDec 21, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $58.9M to $70.2MDec 21, 2023 to Mar 26, 2024
- RAUM · $92.4M to $109MDec 21, 2023 to Mar 26, 2024
- Accounts · 263 to 265Jan 11, 2023 to Mar 28, 2023
Signals
11 dated events
- George Basil Joseph (Cco) appeared on Schedule A of Regal Advisory Services, Inc.Oct 22, 2024 · Control person joined · fact
- Rudolph Andrew Zimmer (Chief Executive Officer) no longer on Schedule A of Regal Advisory Services, Inc. (listed 2024-10-16, absent 2024-10-22)Oct 22, 2024 · Control person left · inference
- Andrew R Zimmer left Regal Advisory Services, Inc. for Simplicity Wealth (registered 2024-09-26)Oct 2, 2024 · Advisor changed firm · fact
- Alan Gabriel Duran (Chief Compliance Officer) no longer on Schedule A of Regal Advisory Services, Inc. (listed 2023-12-21, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- Barbara Gayle Deboer left Regal Advisory Services, Inc. for Greenup Street Wealth Management Llc (registered 2023-11-27)Aug 2, 2023 · Advisor changed firm · fact
- Alan Gabriel Duran (Chief Compliance Officer) appeared on Schedule A of Regal Advisory Services, Inc.Jun 30, 2021 · Control person joined · fact
- George David Garcia (Chief Compliance Officer) no longer on Schedule A of Regal Advisory Services, Inc. (listed 2021-03-29, absent 2021-06-30)Jun 30, 2021 · Control person left · inference
- Rudolph Andrew Zimmer (Chief Executive Officer) appeared on Schedule A of Regal Advisory Services, Inc.Mar 29, 2021 · Control person joined · fact
- Raymond Jason Steeno (President) no longer on Schedule A of Regal Advisory Services, Inc. (listed 2020-03-12, absent 2020-04-03)Apr 3, 2020 · Control person left · inference
- Raymond Jason Steeno (President) appeared on Schedule A of Regal Advisory Services, Inc.Nov 6, 2019 · Control person joined · fact
- Lynn Veronica Gude (President) no longer on Schedule A of Regal Advisory Services, Inc. (listed 2019-05-02, absent 2019-06-07)Jun 7, 2019 · Control person left · inference
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
- Business email
- info@regaladvisoryservices.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 847-375-6033reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 847-375-6090reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/REGAL-ADVISORY-SERVICES-INCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- REGALADVISORYSERVICES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 877-488-6537reportedpublic record, Form ADV, Jul 31, 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
- $5.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026