Regal Capital Management, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$41,363,266
This total excludes 2 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
165
4% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
165
Very HighAverage account size
$250,686
About
The firm provides personalized investment advice, portfolio structuring, asset allocation, and financial planning services — including insurance-related planning — to individuals, high-net-worth clients, trusts and estates, as well as charitable organizations and pension or profit-sharing plans (including IRAs). It delivers both discretionary and non-discretionary portfolio management and prepares periodic performance and comparative reports for clients.
The firm’s investment approach emphasizes traditional, long-term strategies grounded in asset allocation and risk tolerance, avoiding more exotic instruments like options or retail hedge funds, and employs research and software tools to monitor accounts at least annually. It also counsels clients on non-securities holdings such as real estate and insurance and performs agreed-upon administrative functions related to portfolio management.
What distinguishes the firm from many peers is its routine work with institutional-style clients and plan sponsors — providing portfolio management and pension consulting services that are less common among independent advisers of similar size — alongside its work for charitable organizations. The firm’s principal is a licensed insurance agent who incorporates life, health, and fixed-annuity products into financial planning (with minimal commissions reported), and the firm operates primarily on a fee-only basis while encouraging third-party custodianship of client assets.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Real estate investing
Life insurance needs analysis
Fee options
$0 - $200,000: 1.20% $200,000 - $1,000,000: 1.10% $1,000,000 - $2,500,000: 1.00% $2,500,000 - $5,000,000: 0.75% $5,000,000+: Negotiable
$100 to $150 per hour depending on project complexity
Fee-only: Fee-only; no commissions except minimal insurance work
Main office location
Regal Capital Management, Inc.
631 X Street
Bedford IN 47421, United States
Number of offices
2
Most active in
Regal Capital Management, Inc. has reported serving >5 clients in these states in the last 12 months.
Indiana · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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