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 Capital Group, LLC
Latest filing Jul 31, 2026
First filing on the tape Jan 18, 2012 · 61 filings
SEC status approved since Nov 13, 2007
RAUM
$1.6B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
86%
$1.3B individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
18
14 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
4
reported on Schedule D
History
61 filings and snapshots on the tape
RAUM$1.6B as of Jul 31, 2026
Jan 18, 2012$76.4M then
HNW client RAUM$1.1B as of Jul 31, 2026
Mar 8, 2018$177M then
State-registered IARs (5.B.3)14 as of Jul 31, 2026
Jan 18, 20120 then
Employees (5.A)18 as of Jul 31, 2026
Feb 6, 20134 then
Private funds4 as of Jul 31, 2026
Mar 28, 20221 then
RAUM +13% over the last fiscal year+19% a year over threeIARs 13 to 14
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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $403,341derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.3derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, otherreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $606M, 515 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B73%
- Individuals$192M12%
- Pension and profit-sharing plans$153M9.9%
- Charitable organizations$26.7M1.7%
- Corporations and businesses$26.1M1.7%
- Pooled investment vehicles$15.2M1.0%
- Individual clients
- 617reported
- HNW clients
- 471reported
- Pension plan clients
- 48reported
- Charitable clients
- 10reported
- Accounts
- 3,847reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $606M for 515 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.86 fund_share=0.01 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Russell Ralph MohbergCertified Financial Planner | El Segundo, Ca | Jan 25, 2008 | 25 y | 1 |
| Spencer Southard Kelly | El Segundo, Ca | Nov 25, 2008 | 22 y | 1 |
| Nicholas Kelly OzerCertified Financial Planner | El Segundo, Ca | May 12, 2015 | 13 y | 2 |
| Ellen Jo Himmel | El Segundo, Ca | Oct 13, 2016 | 19 y | 0 |
| Britt Morgan JoyceChartered Financial Analyst | El Segundo, Ca | Nov 14, 2016 | 11 y | 2 |
| Lindsey Diranian | El Segundo, Ca | Nov 26, 2019 | 10 y | 2 |
| Erika Shayne Jenkins | El Segundo, Ca | Nov 18, 2020 | 10 y | 0 |
| Lee Henry Clay | New Vernon, Nj | Aug 31, 2022 | 18 y | 0 |
| John Stephen MccormickCertified Financial Planner | El Segundo, Ca | Nov 28, 2022 | 27 y | 3 |
| Benjamin N Satterfield | El Segundo, Ca | Nov 30, 2022 | 20 y | 0 |
| Lisa Ann Margulies | El Segundo, Ca | Dec 15, 2022 | 21 y | 2 |
| Grant Christian Nabell | El Segundo, Ca | Jul 14, 2023 | 11 y | 0 |
| Chloe Lee BarnettCertified Financial Planner | El Segundo, Ca | Apr 7, 2025 | 10 y | 1 |
| Joshua Irving Miller | El Segundo, Ca | Jul 27, 2026 | 10 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 headcount1 left over 36 months
Left, latest
- Cameron Meek to Beacon Pointe Advisors, LLCOct 24, 2023 · RIA to RIA
Joined, latest
- Chloe Lee Barnett from Fidelity Personal And Workplace AdvisorsApr 7, 2025 · Affiliated broker-dealer or bank to independent RIA
- Lisa Ann Margulies from J.P. Morgan Securities LLCDec 15, 2022 · Wirehouse to independent RIA
- John Stephen Mccormick from Ep Wealth AdvisorsNov 28, 2022 · RIA to RIA
- Cameron Meek from Morton WealthSep 16, 2022 · RIA to RIA
- Lindsey Diranian from Wells Fargo AdvisorsNov 26, 2019 · Wirehouse to independent RIA
- Britt Morgan Joyce from Manhattan West Asset Management, LLCNov 14, 2016 · Other
- Nicholas Kelly Ozer from Wells Fargo AdvisorsMay 12, 2015 · Other
- Spencer Southard Kelly from Edward JonesNov 25, 2008 · Other
- Russell Ralph Mohberg from Edward JonesJan 25, 2008 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Regatta Ventures Fund I, LP | Venture Capital Fund | $11.3M | 160 | Mar 28, 2022 |
| Regatta Sling Ventures Fund I Qp, LP | Venture Capital Fund | $2.3M | 10 | Jul 1, 2024 |
| Regatta Sling Ventures Fund I, LP | Venture Capital Fund | $1.2M | 9 | Jul 1, 2024 |
| Regatta Ventures Epic Spv, LLC | Venture Capital Fund | $473,266 | 22 | Mar 29, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Morgan Britt Joyce · Co-Cio & Director Of Endowments & Foundationscontrolsince 01/2023 · owns 5% to 10%
- Southard Spencer Kelly · Principal, Managing Member, Co- Founder, Partner, And Head Of Advisory Servicescontrolsince 04/2008 · owns 25% to 50%
- Ralph Russell Mohberg · Managing Member, Co-Founder, Partner, And Chief Compliance Officercontrolsince 09/2007 · owns 25% to 50%
- Kelly Nicholas Ozer · Partner, Financial Advisor, And Director Of Retirement Plans Foundationscontrolsince 05/2015 · owns 5% to 10%
Related persons
Schedule D 7.A
- Regatta Sling Ventures I Gp, LLCpooled vehicle sponsorn
- Regatta Ventures Fund I Gp, LLCpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| El Segundo, Ca · principal | 13 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Studio City, CA3 employees
- Los Angeles, CA1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 31, 2026JOYCE, BRITT, MORGAN (CO-CIO & DIRECTOR OF ENDOWMENTS & FOUNDATIONS) left Schedule A between the filings of 2023-04-13 and 2026-07-31peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 3,571 to 3,847Sep 30, 2025 to Mar 10, 2026
- Charity clients · 11 to 10Sep 30, 2025 to Mar 10, 2026
- Corporate clients · 16 to 15Sep 30, 2025 to Mar 10, 2026
- HNW clients · 407 to 471Sep 30, 2025 to Mar 10, 2026
- Individual clients · 639 to 617Sep 30, 2025 to Mar 10, 2026
- Assets in custody · $469M to $606MSep 30, 2025 to Mar 10, 2026
- Employees · 16 to 18Sep 30, 2025 to Mar 10, 2026
- State-registered IARs · 13 to 14Sep 30, 2025 to Mar 10, 2026
- Discretionary RAUM · $1.3B to $1.4BSep 30, 2025 to Mar 10, 2026
- HNW RAUM · $927M to $1.1BSep 30, 2025 to Mar 10, 2026
- Individual RAUM · $189M to $192MSep 30, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $114M to $126MSep 30, 2025 to Mar 10, 2026
- Pension RAUM · $188M to $153MSep 30, 2025 to Mar 10, 2026
- Pooled vehicle RAUM · $14.1M to $15.2MSep 30, 2025 to Mar 10, 2026
- RAUM · $1.4B to $1.6BSep 30, 2025 to Mar 10, 2026
- Financial planning clients · More than 500 to More than 500Mar 21, 2025 to May 12, 2025
- Accounts · 3,382 to 3,571Oct 30, 2024 to Mar 21, 2025
- Charity clients · 8 to 11Oct 30, 2024 to Mar 21, 2025
- Corporate clients · 5 to 16Oct 30, 2024 to Mar 21, 2025
- HNW clients · 429 to 407Oct 30, 2024 to Mar 21, 2025
- Individual clients · 582 to 639Oct 30, 2024 to Mar 21, 2025
- Pension plan clients · 46 to 48Oct 30, 2024 to Mar 21, 2025
- Pooled vehicle clients · 2 to 4Oct 30, 2024 to Mar 21, 2025
- Assets in custody · $628M to $469MOct 30, 2024 to Mar 21, 2025
- Discretionary RAUM · $982M to $1.3BOct 30, 2024 to Mar 21, 2025
- HNW RAUM · $837M to $927MOct 30, 2024 to Mar 21, 2025
- Individual RAUM · $144M to $189MOct 30, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $180M to $114MOct 30, 2024 to Mar 21, 2025
- Pension RAUM · $147M to $188MOct 30, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $11.2M to $14.1MOct 30, 2024 to Mar 21, 2025
- RAUM · $1.2B to $1.4BOct 30, 2024 to Mar 21, 2025
- Other offices · 6 to 5Mar 28, 2024 to Jul 1, 2024
- Private funds · 2 to 4Mar 28, 2024 to Jul 1, 2024
- Accounts · 3,231 to 3,382Oct 24, 2023 to Mar 28, 2024
- Advisory employees · 16 to 14Oct 24, 2023 to Mar 28, 2024
- Charity clients · 9 to 8Oct 24, 2023 to Mar 28, 2024
- Corporate clients · 10 to 5Oct 24, 2023 to Mar 28, 2024
- HNW clients · 361 to 429Oct 24, 2023 to Mar 28, 2024
- Individual clients · 594 to 582Oct 24, 2023 to Mar 28, 2024
- Pension plan clients · 47 to 46Oct 24, 2023 to Mar 28, 2024
Signals
6 dated events
- Cameron Meek left Regatta Capital Group, Llc for Beacon Pointe Advisors, Llc (registered 2023-12-01)Oct 24, 2023 · Advisor changed firm · fact
- Morgan Britt Joyce (Co-Cio & Director Of Endowments & Foundations) appeared on Schedule A of Regatta Capital Group, LlcApr 13, 2023 · Control person joined · fact
- Regatta Capital Group, Llc reported RAUM $918.6M, up 35% from $682.7M (2021-11-22 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- Nicholas Ozer (Partner, Financial Advisor, And Director Of Retirement Plans) appeared on Schedule A of Regatta Capital Group, LlcMar 28, 2022 · Control person joined · fact
- Regatta Capital Group, Llc reported RAUM $682.7M, up 40% from $487.1M (2020-12-01 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- Regatta Capital Group, Llc reported RAUM $487.1M, up 51% from $323.7M (2019-11-13 to 2020-02-07)Feb 7, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Regatta Capital Group, LLC · Private Equityshared crd · intermediary
- Regatta Capital Group, LLC · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/regatta-capital-groupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- REGATTAINVEST.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 310-725-9102reportedpublic record, Form ADV, Jul 31, 2026
- Team page
- regattainvest.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026