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CEO · Regency Capital Management Inc.

Neil T. Rose

CRD 4629568 · Named on Form ADV at one SEC-registered adviser

At a glance

Regency Capital Management Inc., an SEC-registered wealth manager based in Honolulu, HI with $364 million in regulatory assets, lists Neil T. Rose on its Form ADV as CEO, a control person.

Firms and roles

AtlasMembers

Neil’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Neil’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.