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
Regis Management, A Mercer Advisors Company
Legal name Regis Acquisition Inc.
Latest filing Mar 29, 2024
First filing on the tape Sep 26, 2022 · 16 filings
RAUM
$2.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
72%
$2.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$2.9B as of Mar 28, 2024
Mar 30, 2023$1.5B then
HNW client RAUM$2.1B as of Mar 28, 2024
Mar 30, 2023$971M then
State-registered IARs (5.B.3)4 as of Mar 28, 2024
Mar 30, 20232 then
Employees (5.A)13 as of Mar 28, 2024
Mar 30, 202324 then
Private funds: no history
RAUM +90% over the last fiscal yearIARs 2 to 4
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
- RAUM per advisor
- $717MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $94.1MderivedHNW RAUM over HNW clients
- Average account
- $95.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +90%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $1.0B, 26 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.1B72%
- Charitable organizations$795M28%
- Individuals$4.9M0.2%
- Individual clients
- n/areported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 30reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.0B for 26 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- Peter Berry Gifford to Mercer Global Advisors Inc.Jul 31, 2024 · RIA to RIA
- Robert Francis Burlinson to Mercer Global Advisors Inc.Jul 31, 2024 · RIA to RIA
- Stephen C. Donahue to Mercer Global Advisors Inc.Jul 31, 2024 · RIA to RIA
- Matthew Adams Krensky to Mercer Global Advisors Inc.Jul 31, 2024 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Mercer Global Advisors Inc.Jul 31, 2024 · Menlo Park, Ca
- 2 left for Mercer Global Advisors Inc.Jul 31, 2024 · Denver, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Andrew Donald Calcagni · Chief Investment Officercontrolsince 09/2022 · owns less than 5%
- Mathew Encino · General Counselcontrolsince 09/2022 · owns less than 5%
- Gary Foodim · Chief Marketing Officercontrolsince 09/2022 · owns less than 5%
- Alexander Daniel Gourvitch · Presidentcontrolsince 10/2022 · owns less than 5%
- Gun Keresteci · Chief Financial Officercontrolsince 02/2024 · owns less than 5%
- Elizabeth Martine Lellis · Chief Talent Officercontrolsince 09/2022 · owns less than 5%
- Kimberly Lorenz · Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
- Loren Pierson · Chief Operating Officercontrolsince 09/2022 · owns less than 5%
- David Charles Welling · Chief Executive Officercontrolsince 09/2022 · owns less than 5%
Entity owners
- Mercer Advisors Intermediate Holdings Inc. · Parent Companydirect · owns 75% or more
- Altas Partners Holdings III (A) LP · Shareholderindirect · owns 25% to 50% of Aph III Primetime Aggregator, L.P.
- Altas Partners Holdings III LP · Shareholderindirect · owns 25% to 50% of Aph III Primetime Aggregator, L.P.
- Aph III Primetime Aggregator, L.P. · Shareholderindirect · owns 25% to 50% of Og Crimson Holdings, L.P.
- Aph III Primetime Co-Invest LP · Shareholderindirect · owns 25% to 50% of Aph III Primetime Aggregator, L.P.
- Gc Waves Holdings, Inc. · Parent Company To Mercer Advisors Inc.indirect · owns 75% or more of Mercer Advisors Inc.
- Mercer Advisors Inc. · Parent Company To Mercer Advisors Intermediate Holdings Inc.indirect · owns 75% or more of Mercer Advisors Intermediate Holdings Inc.
- Og Crimson Holdings Genpar, LLC · General Partnerindirect · owns F of Og Crimson Holdings, L.P.
- Og Crimson Holdings, L.P. · Parent Company To Og Crimson Parent Holdings I, Inc.indirect · owns 75% or more of Og Crimson Parent Holdings I, Inc.
- Og Crimson Parent Holdings I, Inc. · Parent Company To Og Crimson Parent Holdings II, Inc.indirect · owns 75% or more of Og Crimson Parent Holdings II, Inc.
- Og Crimson Parent Holdings II, Inc. · Parent Company To Og Crimson Parent, Inc.indirect · owns 75% or more of Og Crimson Parent, Inc.
- Og Crimson Parent, Inc. · Parent Company To Gc Waves Holdings, Inc.indirect · owns 75% or more of Gc Waves Holdings, Inc.
Related persons
Schedule D 7.A
- Heim, Young & Associates, Inc.broker-dealern
- Mercer Advisors Insurance Services, LLC.real estaten
- Mercer Advisors Private Asset Management Gp I LLCpooled vehicle sponsorn
- Mercer Advisors Private Asset Management, Inc.investment advisernRAUM $206M
- Mercer Global Advisors Inc.investment advisernRAUM $84B
Advisers that list Regis Management, A Mercer Advisors Company as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co · principal | 0 | 0 | 0 | ||
| Menlo Park, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Franciso, CA9 employees
- Menlo Park, CA4 employees
What changed
consecutive filings, newest first
- BD registered reps · 1 to 0Jan 6, 2024 to Mar 28, 2024
- HNW clients · 21 to 22Jan 6, 2024 to Mar 28, 2024
- Assets in custody · $1.5B to $1.0BJan 6, 2024 to Mar 28, 2024
- Employees · 24 to 13Jan 6, 2024 to Mar 28, 2024
- Insurance-licensed employees · 2 to 0Jan 6, 2024 to Mar 28, 2024
- Financial planning clients · 0 to 26-50Jan 6, 2024 to Mar 28, 2024
- State-registered IARs · 2 to 4Jan 6, 2024 to Mar 28, 2024
- Discretionary RAUM · $1.5B to $2.9BJan 6, 2024 to Mar 28, 2024
- HNW RAUM · $971M to $2.1BJan 6, 2024 to Mar 28, 2024
- Individual RAUM · $3.8M to $4.9MJan 6, 2024 to Mar 28, 2024
- RAUM · $1.5B to $2.9BJan 6, 2024 to Mar 28, 2024
- Business name · REGIS ACQUISITION INC. to REGIS MANAGEMENT, A MERCER ADVISORS COMPANYJun 27, 2023 to Sep 22, 2023
- Assets in custody · unset to 1511074881.0Feb 23, 2023 to Mar 30, 2023
- Custody of client assets · false to trueFeb 23, 2023 to Mar 30, 2023
- Insurance-licensed employees · 1 to 2Feb 23, 2023 to Mar 30, 2023
- State-registered IARs · 1 to 2Feb 23, 2023 to Mar 30, 2023
- Related adviser · false to trueFeb 23, 2023 to Mar 30, 2023
- Related broker-dealer · false to trueFeb 23, 2023 to Mar 30, 2023
- Accounts · 0 to 30Sep 26, 2022 to Feb 23, 2023
- Charity clients · unset to 6.0Sep 26, 2022 to Feb 23, 2023
- HNW clients · unset to 21.0Sep 26, 2022 to Feb 23, 2023
- Discretionary RAUM · $0 to $1.5BSep 26, 2022 to Feb 23, 2023
- HNW RAUM · unset to 970551078.0Sep 26, 2022 to Feb 23, 2023
- Individual RAUM · unset to 3808455.0Sep 26, 2022 to Feb 23, 2023
- RAUM · $0 to $1.5BSep 26, 2022 to Feb 23, 2023
Signals
14 dated events
- Peter Berry Gifford left Regis Management, A Mercer Advisors Company for Mercer Global Advisors Inc. (registered 2024-07-11)Jul 31, 2024 · Advisor changed firm · fact
- Robert Francis Burlinson left Regis Management, A Mercer Advisors Company for Mercer Global Advisors Inc. (registered 2024-07-11)Jul 31, 2024 · Advisor changed firm · fact
- Matthew Adams Krensky left Regis Management, A Mercer Advisors Company for Mercer Global Advisors Inc. (registered 2024-07-10)Jul 31, 2024 · Advisor changed firm · fact
- Stephen C. Donahue left Regis Management, A Mercer Advisors Company for Mercer Global Advisors Inc. (registered 2024-07-10)Jul 31, 2024 · Advisor changed firm · fact
- 2 advisors left Regis Management, A Mercer Advisors Company (Menlo Park, CA) for Mercer Global Advisors Inc. on the same dayJul 31, 2024 · Team lift-out · derived
- Regis Management, A Mercer Advisors Company's advisors moved to Mercer Global Advisors Inc. (Denver, CO): 3 of 4 registered, on the same dayJul 31, 2024 · Firm absorbed (people side) · derived
- Adele Christine Cataldo (Chief Technology Officer) no longer on Schedule A of Regis Management, A Mercer Advisors Company (listed 2024-01-06, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Gun Keresteci (Chief Financial Officer) appeared on Schedule A of Regis Management, A Mercer Advisors CompanyMar 28, 2024 · Control person joined · fact
- Hurless David Barton (Vice Chairman) no longer on Schedule A of Regis Management, A Mercer Advisors Company (listed 2024-01-06, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Michael Henry (Chief Financial Officer) no longer on Schedule A of Regis Management, A Mercer Advisors Company (listed 2024-01-06, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Regis Management, A Mercer Advisors Company reported RAUM $2.9B, up 90% from $1.5B (2024-01-06 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Karen Lee (Chief Business Solutons Officer) no longer on Schedule A of Regis Management, A Mercer Advisors Company (listed 2023-06-27, absent 2023-09-22)Sep 22, 2023 · Control person left · inference
- Alexander Daniel Gourvitch (President) appeared on Schedule A of Regis Management, A Mercer Advisors CompanyMar 30, 2023 · Control person joined · fact
- Regis Acquisition Inc. filed its initial SEC registration (Form ADV)Sep 26, 2022 · 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.
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