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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

R•••••• C•••••• G••••• L••

Independent wealth managerEl Segundo, CaliforniaCRD 145363SEC 801-68490websiteIAPD
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
NameBranchHere sinceIn industryPrior firms
R•••••• R•••• M••••••Certified Financial PlannerEl Segundo, CaJan 25, 200825 y1
S•••••• S••••••• K••••El Segundo, CaNov 25, 200822 y1
N••••••• K•••• O•••Certified Financial PlannerEl Segundo, CaMay 12, 201513 y2
E•••• J• H•••••El Segundo, CaOct 13, 201619 y0
B•••• M••••• J••••Chartered Financial AnalystEl Segundo, CaNov 14, 201611 y2
L•••••• D•••••••El Segundo, CaNov 26, 201910 y2
E•••• S••••• J••••••El Segundo, CaNov 18, 202010 y0
L•• H•••• C•••New Vernon, NjAug 31, 202218 y0
J••• S•••••• M••••••••Certified Financial PlannerEl Segundo, CaNov 28, 202227 y3
B••••••• N• S•••••••••El Segundo, Ca Nov 30, 202220 y0
L••• A•• M••••••••El Segundo, Ca Dec 15, 202221 y2
G•••• C•••••••• N•••••El Segundo, CaJul 14, 202311 y0
C•••• L•• B••••••Certified Financial PlannerEl Segundo, CaApr 7, 202510 y1
J••••• I••••• M•••••El Segundo, Ca Jul 27, 202610 y0
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
Private funds
4 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
R•••••• V••••••• F••• I• L•Venture Capital Fund$11.3M160Mar 28, 2022
R•••••• S•••• V••••••• F••• I• Q•• L•Venture Capital Fund$2.3M10Jul 1, 2024
R•••••• S•••• V••••••• F••• I• L•Venture Capital Fund$1.2M9Jul 1, 2024
R•••••• V••••••• E••• S••• L••Venture Capital Fund$473,26622Mar 29, 2023
Owners and control persons
Schedule A and B, latest filing
  • J••••• B••••• M••••• · Co-Cio & Director Of Endowments & Foundationscontrol
    since 01/2023 · owns 5% to 10%
  • K••••• S••••••• S••••••• · Principal, Managing Member, Co- Founder, Partner, And Head Of Advisory Servicescontrol
    since 04/2008 · owns 25% to 50%
  • M••••••• R••••••• R•••• · Managing Member, Co-Founder, Partner, And Chief Compliance Officercontrol
    since 09/2007 · owns 25% to 50%
  • O•••• N•••••••• K•••• · Partner, Financial Advisor, And Director Of Retirement Plans Foundationscontrol
    since 05/2015 · owns 5% to 10%
Related persons
Schedule D 7.A
  • R•••••• S•••• V••••••• I• G•• L••
    pooled vehicle sponsorn
  • R•••••• V••••••• F••• I• G•• L••
    pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
El Segundo, Ca · principal1310
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, 2026
    J••••• B••••• M••••• (CO-CIO & DIRECTOR OF ENDOWMENTS & FOUNDATIONS) left Schedule A between the filings of 2023-04-13 and 2026-07-31
    peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
  • Accounts · 3,571 to 3,847
    Sep 30, 2025 to Mar 10, 2026
  • Charity clients · 11 to 10
    Sep 30, 2025 to Mar 10, 2026
  • Corporate clients · 16 to 15
    Sep 30, 2025 to Mar 10, 2026
  • HNW clients · 407 to 471
    Sep 30, 2025 to Mar 10, 2026
  • Individual clients · 639 to 617
    Sep 30, 2025 to Mar 10, 2026
  • Assets in custody · $469M to $606M
    Sep 30, 2025 to Mar 10, 2026
  • Employees · 16 to 18
    Sep 30, 2025 to Mar 10, 2026
  • State-registered IARs · 13 to 14
    Sep 30, 2025 to Mar 10, 2026
  • Discretionary RAUM · $1.3B to $1.4B
    Sep 30, 2025 to Mar 10, 2026
  • HNW RAUM · $927M to $1.1B
    Sep 30, 2025 to Mar 10, 2026
  • Individual RAUM · $189M to $192M
    Sep 30, 2025 to Mar 10, 2026
  • Non-discretionary RAUM · $114M to $126M
    Sep 30, 2025 to Mar 10, 2026
  • Pension RAUM · $188M to $153M
    Sep 30, 2025 to Mar 10, 2026
  • Pooled vehicle RAUM · $14.1M to $15.2M
    Sep 30, 2025 to Mar 10, 2026
  • RAUM · $1.4B to $1.6B
    Sep 30, 2025 to Mar 10, 2026
  • Financial planning clients · More than 500 to More than 500
    Mar 21, 2025 to May 12, 2025
  • Accounts · 3,382 to 3,571
    Oct 30, 2024 to Mar 21, 2025
  • Charity clients · 8 to 11
    Oct 30, 2024 to Mar 21, 2025
  • Corporate clients · 5 to 16
    Oct 30, 2024 to Mar 21, 2025
  • HNW clients · 429 to 407
    Oct 30, 2024 to Mar 21, 2025
  • Individual clients · 582 to 639
    Oct 30, 2024 to Mar 21, 2025
  • Pension plan clients · 46 to 48
    Oct 30, 2024 to Mar 21, 2025
  • Pooled vehicle clients · 2 to 4
    Oct 30, 2024 to Mar 21, 2025
  • Assets in custody · $628M to $469M
    Oct 30, 2024 to Mar 21, 2025
  • Discretionary RAUM · $982M to $1.3B
    Oct 30, 2024 to Mar 21, 2025
  • HNW RAUM · $837M to $927M
    Oct 30, 2024 to Mar 21, 2025
  • Individual RAUM · $144M to $189M
    Oct 30, 2024 to Mar 21, 2025
  • Non-discretionary RAUM · $180M to $114M
    Oct 30, 2024 to Mar 21, 2025
  • Pension RAUM · $147M to $188M
    Oct 30, 2024 to Mar 21, 2025
  • Pooled vehicle RAUM · $11.2M to $14.1M
    Oct 30, 2024 to Mar 21, 2025
  • RAUM · $1.2B to $1.4B
    Oct 30, 2024 to Mar 21, 2025
  • Other offices · 6 to 5
    Mar 28, 2024 to Jul 1, 2024
  • Private funds · 2 to 4
    Mar 28, 2024 to Jul 1, 2024
  • Accounts · 3,231 to 3,382
    Oct 24, 2023 to Mar 28, 2024
  • Advisory employees · 16 to 14
    Oct 24, 2023 to Mar 28, 2024
  • Charity clients · 9 to 8
    Oct 24, 2023 to Mar 28, 2024
  • Corporate clients · 10 to 5
    Oct 24, 2023 to Mar 28, 2024
  • HNW clients · 361 to 429
    Oct 24, 2023 to Mar 28, 2024
  • Individual clients · 594 to 582
    Oct 24, 2023 to Mar 28, 2024
  • Pension plan clients · 47 to 46
    Oct 24, 2023 to Mar 28, 2024
Signals
6 dated events
  • C•••••• M••• left R•••••• C•••••• G••••• L•• for B••••• P••••• A•••••••• L•• (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 R•••••• C•••••• G••••• L••
    Apr 13, 2023 · Control person joined · fact
  • R•••••• C•••••• G••••• L•• 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 R•••••• C•••••• G••••• L••
    Mar 28, 2022 · Control person joined · fact
  • R•••••• C•••••• G••••• L•• reported RAUM $682.7M, up 40% from $487.1M (2020-12-01 to 2021-03-26)
    Mar 26, 2021 · RAUM change · derived
  • R•••••• C•••••• G••••• L•• 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
How to reach
public business contact points only, each with its source
Firm profile
linkedin.com/company/regatta-capital-groupreportedpublic record, Form ADV, Sep 18, 2026
Website
R••••••INVEST.COMreportedpublic record, Form ADV, Sep 18, 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