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.
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SEC-registered adviser
R•••••• C•••••• M••••••••• I•••
Latest filing Mar 4, 2026
First filing on the tape Jan 6, 2021 · 12 filings
SEC status approved since Feb 4, 2021
RAUM
$364M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$344M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$182M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$364M as of Mar 4, 2026
Mar 31, 2022$259M then
HNW client RAUM$326M as of Mar 4, 2026
Mar 31, 2022$228M then
State-registered IARs (5.B.3)2 as of Mar 4, 2026
Mar 31, 20221 then
Employees (5.A)5 as of Mar 4, 2026
Mar 31, 20224 then
Private funds1 as of Mar 4, 2026
Mar 29, 20231 then
RAUM +20% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $182MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $981,334derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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
- +26%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$326M90%
- Individuals$17.8M4.9%
- Corporations and businesses$8.5M2.3%
- Pooled investment vehicles$5.3M1.5%
- Charitable organizations$4.0M1.1%
- Pension and profit-sharing plans$2.4M0.7%
- Individual clients
- 47reported
- HNW clients
- 69reported
- Pension plan clients
- 3reported
- Charitable clients
- 3reported
- Accounts
- 371reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.01 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••• T• R•••Chartered Financial Analyst | Bainbridge Island, Wa | Mar 22, 2021 | 23 y | 3 |
| K••••• S•••• | Honolulu, Hi | Sep 13, 2022 | 16 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- N••• T• R••• from C•••••• • C• L••Mar 22, 2021 · RIA to a newly registered adviser
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••• C•••••• M••••••••• F••• L• | Hedge Fund | $2.1M | 4 | Mar 29, 2023 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• A•••••• J•••••• · President, Coo, Ccocontrolsince 01/2021 · owns less than 5%
- R•••• N•••• T• · Ceocontrolsince 12/2020 · owns 50% to 75%
Entity owners
- R•••••• A••••••••• L•• · Memberdirect · owns 75% or more
- R•••• N•••• T••••• · Memberindirect · owns 50% to 75% of R•••••• A••••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Bainbridge Island, WA
What changed
consecutive filings, newest first
- Accounts · 327 to 371Mar 11, 2025 to Mar 4, 2026
- Corporate clients · 1 to 4Mar 11, 2025 to Mar 4, 2026
- HNW clients · 48 to 69Mar 11, 2025 to Mar 4, 2026
- Individual clients · 44 to 47Mar 11, 2025 to Mar 4, 2026
- Pension plan clients · 2 to 3Mar 11, 2025 to Mar 4, 2026
- Employees · 4 to 5Mar 11, 2025 to Mar 4, 2026
- Financial planning clients · 51-100 to 101-250Mar 11, 2025 to Mar 4, 2026
- Discretionary RAUM · $304M to $364MMar 11, 2025 to Mar 4, 2026
- HNW RAUM · $237M to $326MMar 11, 2025 to Mar 4, 2026
- Individual RAUM · $56.7M to $17.8MMar 11, 2025 to Mar 4, 2026
- Pension RAUM · $1.5M to $2.4MMar 11, 2025 to Mar 4, 2026
- Pooled vehicle RAUM · $4.3M to $5.3MMar 11, 2025 to Mar 4, 2026
- RAUM · $304M to $364MMar 11, 2025 to Mar 4, 2026
- Accounts · 307 to 327Mar 25, 2024 to Mar 11, 2025
- Corporate clients · 2 to 1Mar 25, 2024 to Mar 11, 2025
- HNW clients · 43 to 48Mar 25, 2024 to Mar 11, 2025
- Individual clients · 40 to 44Mar 25, 2024 to Mar 11, 2025
- Pension plan clients · 1 to 2Mar 25, 2024 to Mar 11, 2025
- Financial planning clients · 51-100 to 51-100Mar 25, 2024 to Mar 11, 2025
- Discretionary RAUM · $279M to $304MMar 25, 2024 to Mar 11, 2025
- HNW RAUM · $218M to $237MMar 25, 2024 to Mar 11, 2025
- Individual RAUM · $51.1M to $56.7MMar 25, 2024 to Mar 11, 2025
- Pension RAUM · $270,724 to $1.5MMar 25, 2024 to Mar 11, 2025
- Pooled vehicle RAUM · $2.1M to $4.3MMar 25, 2024 to Mar 11, 2025
- RAUM · $279M to $304MMar 25, 2024 to Mar 11, 2025
- Accounts · 243 to 307Mar 29, 2023 to Mar 25, 2024
- Advisory employees · 3 to 2Mar 29, 2023 to Mar 25, 2024
- Charity clients · 2 to 3Mar 29, 2023 to Mar 25, 2024
- HNW clients · 35 to 43Mar 29, 2023 to Mar 25, 2024
- Individual clients · 25 to 40Mar 29, 2023 to Mar 25, 2024
- Pension plan clients · 2 to 1Mar 29, 2023 to Mar 25, 2024
- Employees · 5 to 4Mar 29, 2023 to Mar 25, 2024
- State-registered IARs · 3 to 2Mar 29, 2023 to Mar 25, 2024
- Discretionary RAUM · $247M to $279MMar 29, 2023 to Mar 25, 2024
- HNW RAUM · $198M to $218MMar 29, 2023 to Mar 25, 2024
- Individual RAUM · $42.5M to $51.1MMar 29, 2023 to Mar 25, 2024
- Pension RAUM · $441,379 to $270,724Mar 29, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $53,674 to $2.1MMar 29, 2023 to Mar 25, 2024
- RAUM · $247M to $279MMar 29, 2023 to Mar 25, 2024
- Accounts · 192 to 243Sep 20, 2022 to Mar 29, 2023
Signals
2 dated events
- Jacques Arthur Mallet (President And Chief Operating Officer) appeared on Schedule A of R•••••• C•••••• M••••••••• I•••Apr 1, 2021 · Control person joined · fact
- N••• R••• • C•• filed its initial SEC registration (Form ADV)Jan 6, 2021 · First SEC registration · 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
- Business phone
- 206-238-1178reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 808-451-3193reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- regencycm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 808-451-3193reportedpublic record, Form ADV, Mar 4, 2026
- Team page
- regencycm.com/team/neilrosereportedpublished 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
- $182Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026