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
Regent Investment Management LLC
Latest filing Oct 11, 2022
First filing on the tape May 21, 2012 · 24 filings
RAUM
$478M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$398M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$559M as of Feb 10, 2022
Jan 31, 2013$169M then
HNW client RAUM$437M as of Feb 10, 2022
Mar 9, 2018$279M then
State-registered IARs (5.B.3)3 as of Feb 10, 2022
Jan 31, 20132 then
Employees (5.A)4 as of Feb 10, 2022
Jan 31, 20133 then
Private funds2 as of Mar 3, 2020
Jan 31, 20132 then
RAUM +2.7% over the last fiscal year+8.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Oct 11, 2022; every figure names its basis
- RAUM per advisor
- $159MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $123M, 32 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$371M78%
- Charitable organizations$50.3M11%
- Corporations and businesses$30.5M6.4%
- Individuals$26.4M5.5%
- Individual clients
- 88reported
- HNW clients
- 77reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 401reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $123M for 32 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
Left, latest
- Steven Todd Naiser to Bartlett & Co. Wealth Management LLCFeb 6, 2023 · RIA to RIA
Joined, latest
- Steven Todd Naiser from Regent Group IncJul 2, 2012 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Bonaparte Partners, L. P.no longer reported | Hedge Fund | $13.6M | 21 | Mar 30, 2012 |
| Snowbird Partners, L.P.no longer reported | Hedge Fund | $10.7M | 21 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Nelson Martin Mcclelland · Presidentcontrolsince 04/2012 · owns 50% to 75%
- Todd Steven Naiser · Chief Compliance Officercontrolsince 04/2012 · owns 10% to 25%
- Dennis Mary Jones · Portfolio Managersince 10/2013 · owns 10% to 25%
Related persons
Schedule D 7.A
- Enterprise Angels Community Fund I LLCpooled vehicle sponsorn
- Unbridled Ventures Fund LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 410 to 401Feb 10, 2022 to Oct 11, 2022
- Corporate clients · 3.0 to unsetFeb 10, 2022 to Oct 11, 2022
- HNW clients · 80 to 77Feb 10, 2022 to Oct 11, 2022
- Individual clients · 89 to 88Feb 10, 2022 to Oct 11, 2022
- Assets in custody · $145M to $123MFeb 10, 2022 to Oct 11, 2022
- Discretionary RAUM · $559M to $478MFeb 10, 2022 to Oct 11, 2022
- HNW RAUM · $437M to $371MFeb 10, 2022 to Oct 11, 2022
- Individual RAUM · $31.0M to $26.4MFeb 10, 2022 to Oct 11, 2022
- RAUM · $559M to $478MFeb 10, 2022 to Oct 11, 2022
- Accounts · 418 to 410Aug 3, 2021 to Feb 10, 2022
- Corporate clients · 5 to 3Aug 3, 2021 to Feb 10, 2022
- HNW clients · 77 to 80Aug 3, 2021 to Feb 10, 2022
- Individual clients · 90 to 89Aug 3, 2021 to Feb 10, 2022
- Assets in custody · $139M to $145MAug 3, 2021 to Feb 10, 2022
- Discretionary RAUM · $523M to $559MAug 3, 2021 to Feb 10, 2022
- HNW RAUM · $400M to $437MAug 3, 2021 to Feb 10, 2022
- Individual RAUM · $30.4M to $31.0MAug 3, 2021 to Feb 10, 2022
- RAUM · $523M to $559MAug 3, 2021 to Feb 10, 2022
- Accounts · 404 to 418Feb 22, 2021 to Aug 3, 2021
- Corporate clients · unset to 5.0Feb 22, 2021 to Aug 3, 2021
- HNW clients · 73 to 77Feb 22, 2021 to Aug 3, 2021
- Individual clients · 89 to 90Feb 22, 2021 to Aug 3, 2021
- Assets in custody · $134M to $139MFeb 22, 2021 to Aug 3, 2021
- Discretionary RAUM · $466M to $523MFeb 22, 2021 to Aug 3, 2021
- HNW RAUM · $355M to $400MFeb 22, 2021 to Aug 3, 2021
- Individual RAUM · $30.2M to $30.4MFeb 22, 2021 to Aug 3, 2021
- RAUM · $466M to $523MFeb 22, 2021 to Aug 3, 2021
- Accounts · 390 to 404Jun 17, 2020 to Feb 22, 2021
- Advisory activities · 3 to 2Jun 17, 2020 to Feb 22, 2021
- Corporate clients · 6.0 to unsetJun 17, 2020 to Feb 22, 2021
- HNW clients · 62 to 73Jun 17, 2020 to Feb 22, 2021
- Pooled vehicle clients · 2 to 0Jun 17, 2020 to Feb 22, 2021
- Assets in custody · $106M to $134MJun 17, 2020 to Feb 22, 2021
- Private funds · 2 to unsetJun 17, 2020 to Feb 22, 2021
- Discretionary RAUM · $435M to $466MJun 17, 2020 to Feb 22, 2021
- HNW RAUM · $295M to $355MJun 17, 2020 to Feb 22, 2021
- Individual RAUM · $31.5M to $30.2MJun 17, 2020 to Feb 22, 2021
- Pooled vehicle RAUM · $24.3M to $0Jun 17, 2020 to Feb 22, 2021
- RAUM · $435M to $466MJun 17, 2020 to Feb 22, 2021
- Accounts · 371 to 390Aug 21, 2019 to Mar 3, 2020
Signals
2 dated events
- Steven Todd Naiser left Regent Investment Management Llc for Bartlett & Co. Wealth Management Llc (registered 2023-02-12)Feb 6, 2023 · Advisor changed firm · fact
- Regent Investment Management Llc reported RAUM $405.1M, up 38% from $294.3M (2017-03-06 to 2018-03-09)Mar 9, 2018 · RAUM change · 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