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Partner, Financial Advisor, and Director of Retirement Plans · Regatta Capital Group, LLC

Nicholas K. Ozer

CRD 6047605 · Named on Form ADV at one SEC-registered adviser

At a glance

Regatta Capital Group, LLC, an SEC-registered wealth manager based in EL Segundo, CA with $1.6 billion in regulatory assets, lists Nicholas K. Ozer on its Form ADV as Partner, Financial Advisor, and Director of Retirement Plans, a control person.

Firms and roles

  • Regatta Capital Group, LLCPartner, Financial Advisor, and Director of Retirement PlansWealth manager · EL Segundo, CA · $1.6B in regulatory assets

AtlasMembers

Nicholas’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

  • Russell R. MohbergManaging Member, Co-Founder, Partner, and Chief Compliance Officer, Regatta Capital Group, LLC
  • Spencer S. KellyPrincipal, Managing Member, Co-Founder, Partner, and Head of Advisory Services, Regatta Capital Group, LLC
  • Britt M. JoyceCo-Cio & Director of Endowments & Foundations, Regatta Capital Group, LLC

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