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 Investment Advisors LLC
Latest filing May 18, 2026
First filing on the tape Mar 9, 2012 · 89 filings
SEC status approved since Oct 19, 2010
RAUM
$2.9B
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
95%
$2.7B individuals and HNW
Advisors
121
registered through the firm on IAPD
RAUM per advisor
$23.8M
derived; firm RAUM over IAPD count
Employees
131
118 advisory (5.B.1)
Offices
77
beyond the principal office
Private funds
0
reported on Schedule D
History
89 filings and snapshots on the tape
RAUM$2.9B as of May 18, 2026
Mar 9, 2012$216M then
HNW client RAUM$1.1B as of May 18, 2026
Mar 29, 2018$290M then
State-registered IARs (5.B.3)118 as of May 18, 2026
Feb 27, 201386 then
Employees (5.A)131 as of May 18, 2026
Feb 27, 201387 then
Private funds: no history
RAUM +18% over the last fiscal year+12% a year over threeIARs 110 to 118
Practice profile
derived from the filing of May 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $24.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $213,560derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 1.5derived78 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $306MreportedItem 5.I
- Custody
- $598M, 1,645 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.6B55%
- High-net-worth individuals$1.1B40%
- Pension and profit-sharing plans$127M4.4%
- Corporations and businesses$14.4M0.5%
- Charitable organizations$830,9190.0%
- Individual clients
- 7,665reported
- HNW clients
- 555reported
- Pension plan clients
- 40reported
- Charitable clients
- 6reported
- Accounts
- 13,473reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $598M for 1,645 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=true related_bank=false bd_reps=75.0derived
Advisors registered through the firm
119 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Brian Dale YarchChartered Financial Consultant | Kentwood, Mi | Jul 2, 2010 | 26 y | 2 |
| John Anthony Kailunas | Kentwood, Mi | Jul 20, 2010 | 36 y | 1 |
| Dustin Edward Leach | Monroe, Mi | Nov 12, 2010 | 25 y | 1 |
| Keith Reeves Barron | Columbia, Sc | Dec 17, 2010 | 17 y | 0 |
| Donald Nate Carlson | Kentwood, Mi | Jan 7, 2011 | 27 y | 1 |
| Scott Phillip HansonChartered Financial Consultant | Brookfield, Wi | Mar 15, 2011 | 19 y | 2 |
| Bari Walter Bell | Kentwood, Mi | Jun 7, 2011 | 41 y | 1 |
| Jon Michael Mccardle | Kentwood, Mi | Apr 5, 2012 | 25 y | 2 |
| Terry Dean HollarChartered Financial Consultant | Kentwood, Mi | Oct 5, 2012 | 39 y | 1 |
| Edward C LewisCertified Financial Planner | Kentwood, Mi | Dec 19, 2012 | 25 y | 2 |
| Anthony Joseph Burek | Monroe, Mi | Apr 23, 2013 | 15 y | 2 |
| Michael Warren MorrisonCertified Financial Planner | Kentwood, Mi | Jul 1, 2013 | 42 y | 5 |
| Christopher Mark PetersonCertified Financial Planner | Grand Rapids, Mi | Jul 1, 2014 | 27 y | 4 |
| James Allen FischerChartered Financial Consultant | Pewaukee, Wi | Jul 25, 2014 | 39 y | 2 |
| James Brian Dillon | Plymouth, In | Sep 3, 2014 | 20 y | 4 |
| Steve Floyd MankameyerCertified Financial Planner | Overland Park, Ks | Nov 14, 2014 | 41 y | 1 |
| Jeffrey Alan Umbaugh | Kentwood, Mi | Feb 17, 2015 | 25 y | 6 |
| Dave M Stanfield | Seattle, Wa | Mar 20, 2015 | 28 y | 2 |
| Paul M. Bailley | Greenville, Sc | Aug 17, 2015 | 24 y | 3 |
| Lee Charles Cole | Petoskey, Mi | Aug 18, 2015 | 22 y | 3 |
| Cory James Thompson | Jenks, Ok | Nov 30, 2015 | 27 y | 3 |
| Travis Robert Peltz | Kentwood, Mi | May 2, 2016 | 16 y | 0 |
| Russell Alan SmithCertified Financial Planner, Chartered Financial Consultant | Kentwood, Mi | Jan 30, 2017 | 39 y | 2 |
| Trevor S KurthCertified Financial Planner | Pewaukee, Wi | Feb 8, 2017 | 10 y | 0 |
| Scott Richard Flynn | Kentwood, Mi | Mar 3, 2017 | 27 y | 3 |
| Aaron Christopher Tice | Kentwood, Mi | Jun 26, 2017 | 17 y | 1 |
| Louis Ralph Petrillo | Kentwood, Mi | Jan 17, 2018 | 19 y | 3 |
| Jon Robert EricksonCertified Financial Planner | Bellevue, Wa | Jan 30, 2018 | 21 y | 3 |
| Bradley WallickChartered Financial Analyst | Kentwood, Mi | Feb 15, 2018 | 28 y | 2 |
| Sidney Joseph Dufresne | River Rouge, La | Feb 21, 2018 | 31 y | 1 |
| Laura Kramer Mcreynolds | Kentwood, Mi | Mar 2, 2018 | 18 y | 0 |
| James Richard ReimChartered Financial Analyst | Erie, Pa | Apr 18, 2018 | 41 y | 3 |
| Jeffrey Lloyd Gibbens | Erie, Pa | Apr 18, 2018 | 45 y | 4 |
| Matteo Petrillo | Kentwood, Mi | Apr 27, 2018 | 19 y | 2 |
| Anthony Burton | Praireville, La | Jul 10, 2018 | 28 y | 1 |
| James Patrick White | Kentwood, Mi | Sep 7, 2018 | 25 y | 1 |
| Alan Elmer Toman | Los Angeles, Ca | Oct 11, 2018 | 19 y | 0 |
| Carlos Alberto Guzman | Kentwood, Mi | Nov 19, 2018 | 12 y | 1 |
| Phillip Wayne Olney | Kentwood, Mi | Mar 8, 2019 | 18 y | 3 |
| Anthony Steven Thornton | Kentwood, Mi | Mar 12, 2019 | 29 y | 4 |
Advisor movement
11 left, 15 joined in 12 months
net +4 in 12 months3 left in 90 days2 joined in 90 daysdeparture rate 9.1% of current headcount38 left over 36 months
Left, latest
- Richard Nathaniel Law to Integrity Alliance, LLCSep 14, 2026 · Affiliated broker-dealer or bank to another
- Spencer Lademan to Kroon & Mitchell Asset Management LLCJul 17, 2026 · Affiliated broker-dealer or bank to independent RIA
- Anthony D Abrams to Cape Investment Advisory, Inc.Jul 16, 2026 · Affiliated broker-dealer or bank to independent RIA
- Steven Michael Martinez to Kinetic Investment Management, Inc.May 19, 2026 · Affiliated broker-dealer or bank to independent RIA
- Daniel Edward Ruble to LPL Financial LLCFeb 9, 2026 · Affiliated broker-dealer or bank to another
- Matthew Eugene Mccarter to Onyx Bridge Wealth Group LLCJan 12, 2026 · Affiliated broker-dealer or bank to independent RIA
- Thomas Orcutt to Td Private Client Wealth LLCJan 7, 2026 · Affiliated broker-dealer or bank to another
- Lucas Arthur Beggin to Lucas Group Financial Advisors, LLCOct 7, 2025 · Affiliated broker-dealer or bank to independent RIA
- Andrew Lee Stewart to Lucas Group Financial Advisors, LLCOct 7, 2025 · Affiliated broker-dealer or bank to independent RIA
- Katherine Alicia Downing to Lucas Group Financial Advisors, LLCOct 7, 2025 · Affiliated broker-dealer or bank to independent RIA
- Todd Thomas Reno to Lucas Group Financial Advisors, LLCOct 7, 2025 · Affiliated broker-dealer or bank to independent RIA
- Robert Wrona to LPL Enterprise, LLCJun 26, 2025 · Affiliated broker-dealer or bank to another
- Victor Clement to Financial Essentials 4 Life, Inc.Mar 31, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- Robert Esposito to Tlg Advisors, Inc.Mar 27, 2025 · Affiliated broker-dealer or bank to another
- Kevin Peter Zebrowski to Tlg Advisors, Inc.Mar 27, 2025 · Affiliated broker-dealer or bank to another
Joined, latest
- Herbert Robert Franco from MML Investors Services, LLCJul 22, 2026 · Affiliated broker-dealer or bank to another
- Donna Marie Adams from Oneamerica Securities, Inc.Jul 10, 2026 · Affiliated broker-dealer or bank to another
- Mark Christopher Connell from Mark-ChristopherMay 6, 2026 · Other
- Anthony Catapano from Morgan StanleyMar 18, 2026 · Wirehouse to affiliated broker-dealer or bank
- Thomas Anthony Ditta from Valic Financial Advisors, Inc.Feb 9, 2026 · Affiliated broker-dealer or bank to another
- Trey Gilbert from Ameriprise Financial Services, LLCFeb 5, 2026 · Affiliated broker-dealer or bank to another
- Paul Anthony Savage from Cambridge Investment Research Advisors, Inc.Feb 2, 2026 · Affiliated broker-dealer or bank to another
- Olivia Geiger from LPL Financial LLCJan 26, 2026 · Affiliated broker-dealer or bank to another
- Ericka Butler from Cetera Investment Advisers LLCJan 26, 2026 · Affiliated broker-dealer or bank to another
- Robert Jerry Boerkoel from Centennial Securities Company IncDec 11, 2025 · RIA to affiliated broker-dealer or bank
- Cornelius Willem Boerkoel from Centennial Securities Company IncDec 11, 2025 · RIA to affiliated broker-dealer or bank
- Darrans Margens Desire from Kinetic Investment Management, Inc.Oct 21, 2025 · RIA to affiliated broker-dealer or bank
- Ralph Edma Desire from Kinetic Investment Management, Inc.Oct 21, 2025 · RIA to affiliated broker-dealer or bank
- Peter Louis Vescovi from Cetera Investment Advisers LLCOct 14, 2025 · Affiliated broker-dealer or bank to another
- Lisa Tursi from Capital AnalystsOct 10, 2025 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Lucas Group Financial Advisors, LLCOct 7, 2025 · Rockford, Il
- 3 left for Cambridge Investment Research Advisors, Inc.Dec 23, 2024 · Grand Ledge, Mi
- 6 left for Prasad Wealth PartnersSep 30, 2024 · Kentwood, Mi
- 2 left for Prasad Wealth PartnersSep 30, 2024 · Independence, Oh
- 2 left for Advisory Services NetworkJun 7, 2021 · Jupiter, Fl
- 5 left for Carrington Advisors, LLCApr 1, 2021 · Kentwood, Mi
- 2 left for Cf FinancialJan 22, 2021 · Kentwood, Mi
- 2 left for Belpointe Asset Management LLCJun 19, 2020 · Kentwood, Mi
- 2 joined from Centennial Securities Company IncDec 11, 2025 · Jenison, Mi
- 2 joined from Intervest International, Inc.Jun 27, 2023 · Morristown, Nj
- 4 joined from Arbor Point AdvisorsMay 12, 2020 · Independence, Oh
- 3 joined from Lucas Group Financial Advisors, Inc.Nov 18, 2019 · Freeport, Il · Firm absorbed
- 2 joined from Cs Advisors Inc.Sep 24, 2019 · Boca Raton, Fl
- 2 joined from Ic Advisory Services, Inc.Apr 17, 2018 · Bedminster, Nj
- 2 joined from Principal Securities, Inc.Sep 27, 2017 · Plantation, Fl
- 3 joined from Wealth Watch Advisors, IncApr 27, 2017 · Englewood, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Samuel William Best · Chief Operating Officercontrolsince 05/2016 · owns less than 5%
- Anthony John Kailunas · Managing Member And Ceocontrolsince 01/2000 · owns 75% or more
- Dale Brian Yarch · Managing Membercontrolsince 01/2000 · owns 10% to 25%
- Jack Thomas Bonnington · Chief Compliance Officersince 04/2023 · owns less than 5%
- Nate Donald Carlson · Executive Vice Presidentsince 06/2012 · owns less than 5%
Related persons
Schedule D 7.A
- Regal Financial Group, LLCreal estatey
- Regulus Financial Group, LLCbroker-dealerreal estaten
Advisers that list Regal Investment Advisors LLC as a related person
- 168851 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kentwood, Mi · principal | 120 | 22 | 3 | ||
| Grand Rapids, Mi | 6 | 2 | 0 | ||
| Monroe, Mi | 4 | 0 | 0 | ||
| Lafayette, In | 3 | 1 | 0 | ||
| Danville, Va | 3 | 0 | 0 | ||
| Morristown, Nj | 3 | 1 | 0 | ||
| Columbia, Sc | 3 | 0 | 0 | ||
| Audubon, Nj | 2 | 0 | 0 | ||
| Capron, Il | 2 | 0 | 0 | ||
| Erie, Pa | 2 | 0 | 0 | ||
| Fort Myers, Fl | 2 | 2 | 0 | ||
| Greenville, Sc | 2 | 0 | 0 | ||
| Monroe, La | 2 | 1 | 0 | ||
| Naples, Fl | 2 | 2 | 0 | ||
| North Haven, Ct | 2 | 1 | 0 | ||
| Oviedo, Fl | 2 | 1 | 0 | ||
| Pewaukee, Wi | 2 | 0 | 0 | ||
| Plymouth, In | 2 | 0 | 0 | ||
| Silver Spring, Md | 2 | 0 | 0 | ||
| Spanish Fork, Ut | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Columbia, SC6 employees
- Pewaukee, WI5 employees
- Erie, PA5 employees
- Independence, OH3 employees
- Monroe, MI3 employees
- Canyon Lake, CA3 employees
- Morristown, NJ3 employees
- Plymouth, IN2 employees
- Rockford, IL2 employees
- Rogers City, MI2 employees
- Audubon, NJ2 employees
- , 2 employees
- Monroe, LA2 employees
- Grand Rapids, MI2 employees
- Oakwood Village, OH1 employees
- Scottsdale, AZ1 employees
- Troy, MI1 employees
- Lafayette, IN1 employees
- Atlanta, GA1 employees
- Bloomington, MN1 employees
- Hickory, NC1 employees
- Kalamazoo, MI1 employees
- Danville, VA1 employees
- Grand Ledge, MI1 employees
- Freeport, IL1 employees
What changed
consecutive filings, newest first
- Accounts · 12,303 to 13,473Apr 25, 2025 to Mar 30, 2026
- Advisory employees · 110 to 118Apr 25, 2025 to Mar 30, 2026
- BD registered reps · 72 to 75Apr 25, 2025 to Mar 30, 2026
- Charity clients · 9 to 6Apr 25, 2025 to Mar 30, 2026
- Corporate clients · 56 to 36Apr 25, 2025 to Mar 30, 2026
- HNW clients · 338 to 555Apr 25, 2025 to Mar 30, 2026
- Individual clients · 7,418 to 7,665Apr 25, 2025 to Mar 30, 2026
- Pension plan clients · 38 to 40Apr 25, 2025 to Mar 30, 2026
- Assets in custody · $470M to $598MApr 25, 2025 to Mar 30, 2026
- Employees · 118 to 131Apr 25, 2025 to Mar 30, 2026
- State-registered IARs · 110 to 118Apr 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.0B to $2.4BApr 25, 2025 to Mar 30, 2026
- HNW RAUM · $733M to $1.1BApr 25, 2025 to Mar 30, 2026
- Individual RAUM · $1.6B to $1.6BApr 25, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $469M to $432MApr 25, 2025 to Mar 30, 2026
- Pension RAUM · $126M to $127MApr 25, 2025 to Mar 30, 2026
- RAUM · $2.4B to $2.9BApr 25, 2025 to Mar 30, 2026
- Accounts · 12,870 to 12,303Nov 22, 2024 to Apr 25, 2025
- Advisory employees · 117 to 110Nov 22, 2024 to Apr 25, 2025
- BD registered reps · 77 to 72Nov 22, 2024 to Apr 25, 2025
- Charity clients · 6 to 9Nov 22, 2024 to Apr 25, 2025
- Corporate clients · 83 to 56Nov 22, 2024 to Apr 25, 2025
- HNW clients · 397 to 338Nov 22, 2024 to Apr 25, 2025
- Individual clients · 8,406 to 7,418Nov 22, 2024 to Apr 25, 2025
- Pension plan clients · 41 to 38Nov 22, 2024 to Apr 25, 2025
- Assets in custody · $521M to $470MNov 22, 2024 to Apr 25, 2025
- Employees · 140 to 118Nov 22, 2024 to Apr 25, 2025
- Financial planning clients · 51-100 to 51-100Nov 22, 2024 to Apr 25, 2025
- State-registered IARs · 117 to 110Nov 22, 2024 to Apr 25, 2025
- Discretionary RAUM · $2.2B to $2.0BNov 22, 2024 to Apr 25, 2025
- HNW RAUM · $812M to $733MNov 22, 2024 to Apr 25, 2025
- Individual RAUM · $1.6B to $1.6BNov 22, 2024 to Apr 25, 2025
- Non-discretionary RAUM · $363M to $469MNov 22, 2024 to Apr 25, 2025
- Pension RAUM · $142M to $126MNov 22, 2024 to Apr 25, 2025
- RAUM · $2.6B to $2.4BNov 22, 2024 to Apr 25, 2025
- Accounts · 11,768 to 12,870Apr 28, 2023 to Mar 28, 2024
- Advisory employees · 90 to 117Apr 28, 2023 to Mar 28, 2024
- BD registered reps · 59 to 77Apr 28, 2023 to Mar 28, 2024
- Charity clients · 5 to 6Apr 28, 2023 to Mar 28, 2024
- Corporate clients · 61 to 83Apr 28, 2023 to Mar 28, 2024
Signals
60 dated events
- Richard Nathaniel Law left Regal Investment Advisors LLC for Integrity Alliance, LLC (registered 2026-09-14)Sep 14, 2026 · Advisor changed firm · fact
- Spencer Lademan left Regal Investment Advisors Llc for Kroon & Mitchell Asset Management Llc (registered 2026-07-21)Jul 17, 2026 · Advisor changed firm · fact
- Anthony D Abrams left Regal Investment Advisors Llc for Cape Investment Advisory, Inc. (registered 2026-07-29)Jul 16, 2026 · Advisor changed firm · fact
- Steven Michael Martinez left Regal Investment Advisors Llc for Kinetic Investment Management, Inc. (registered 2026-05-20)May 19, 2026 · Advisor changed firm · fact
- Daniel Edward Ruble left Regal Investment Advisors Llc for Lpl Financial Llc (registered 2026-03-16)Feb 9, 2026 · Advisor changed firm · fact
- Matthew Eugene Mccarter left Regal Investment Advisors Llc for Onyx Bridge Wealth Group Llc (registered 2026-01-11)Jan 12, 2026 · Advisor changed firm · fact
- Thomas Orcutt left Regal Investment Advisors Llc for Td Private Client Wealth Llc (registered 2026-02-19)Jan 7, 2026 · Advisor changed firm · fact
- 2 advisors left Centennial Securities Company Inc (Jenison, MI) for Regal Investment Advisors LLC on the same dayDec 11, 2025 · Team lift-out · derived
- Todd Thomas Reno left Regal Investment Advisors Llc for Lucas Group Financial Advisors, Llc (registered 2025-08-25)Oct 7, 2025 · Advisor changed firm · fact
- Lucas Arthur Beggin left Regal Investment Advisors Llc for Lucas Group Financial Advisors, Llc (registered 2025-08-22)Oct 7, 2025 · Advisor changed firm · fact
- 4 advisors left Regal Investment Advisors LLC (Rockford, IL) for Lucas Group Financial Advisors, LLC on the same dayOct 7, 2025 · Team lift-out · derived
- Katherine Alicia Downing left Regal Investment Advisors Llc for Lucas Group Financial Advisors, Llc (registered 2025-08-22)Oct 7, 2025 · Advisor changed firm · fact
- Andrew Lee Stewart left Regal Investment Advisors Llc for Lucas Group Financial Advisors, Llc (registered 2025-08-25)Oct 7, 2025 · Advisor changed firm · fact
- Robert Wrona left Regal Investment Advisors Llc for Lpl Enterprise, Llc (registered 2026-04-06)Jun 26, 2025 · Advisor changed firm · fact
- Victor Clement left Regal Investment Advisors Llc for Financial Essentials 4 Life, Inc. (registered 2025-05-13)Mar 31, 2025 · Advisor changed firm · fact
- Robert Esposito left Regal Investment Advisors Llc for Tlg Advisors, Inc. (registered 2025-03-26)Mar 27, 2025 · Advisor changed firm · fact
- Kevin Peter Zebrowski left Regal Investment Advisors Llc for Tlg Advisors, Inc. (registered 2025-03-27)Mar 27, 2025 · Advisor changed firm · fact
- Mark Benjamin Grooters left Regal Investment Advisors Llc for Lpl Enterprise, Llc (registered 2025-03-06)Mar 5, 2025 · Advisor changed firm · fact
- Alfredo Torres left Regal Investment Advisors Llc for Td Private Client Wealth Llc (registered 2025-12-23)Jan 6, 2025 · Advisor changed firm · fact
- Steven Reynold Ryan left Regal Investment Advisors Llc for Oneseven (registered 2024-12-18)Dec 23, 2024 · Advisor changed firm · fact
- Adam Lee Heinlein left Regal Investment Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2024-12-16)Dec 23, 2024 · Advisor changed firm · fact
- Huey Kent Heise left Regal Investment Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2024-12-16)Dec 23, 2024 · Advisor changed firm · fact
- 3 advisors left Regal Investment Advisors LLC (Grand Ledge, MI) for Cambridge Investment Research Advisors, Inc. on the same dayDec 23, 2024 · Team lift-out · derived
- Joel David Heinlein left Regal Investment Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2024-12-16)Dec 23, 2024 · Advisor changed firm · fact
- Joseph Lawrence Taunt left Regal Investment Advisors Llc for Sagepoint Financial, Inc. (registered 2010-02-02)Dec 23, 2024 · Advisor changed firm · fact
- Giuseppe Roveccio left Regal Investment Advisors Llc for G & R Financial Solutions Llc (registered 2024-10-23)Oct 22, 2024 · Advisor changed firm · fact
- Ellis Charles Regini left Regal Investment Advisors Llc for Blackridge Asset Management, Llc (registered 2026-04-21)Oct 22, 2024 · Advisor changed firm · fact
- 5 advisors left Regal Investment Advisors LLC (Kentwood, MI) for Prasad Wealth Partners on the same daySep 30, 2024 · Team lift-out · derived
- 3 advisors left Regal Investment Advisors LLC (Independence, OH) for Prasad Wealth Partners on the same daySep 30, 2024 · Team lift-out · derived
- Anthony Grey Kulka left Regal Investment Advisors Llc for Prasad Wealth Partners (registered 2024-09-05)Sep 30, 2024 · Advisor changed firm · fact
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/regal-investment-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/regal-financial-groupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- REGALRIA.NETreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 616-224-2204reportedpublic record, Form ADV, May 18, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $23.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026