Wealth manager, independent · Glenview, IL
Regal Advisory Services, Inc.
SEC-registered investment adviser · CRD 123842 · SEC 801-71619
At a glance
Regal Advisory Services, Inc. is an SEC-registered investment adviser based in Glenview, Illinois, with $121 million in regulatory assets under management as of its Form ADV filed July 31, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 269 individual clients. By Form ADV it is a wealth manager, ranked 7,663rd of 8,915 wealth managers and 14,664th of 17,210 SEC-registered advisers by assets.
Main office 877-488-6537regaladvisoryservices.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $121M
- Rank among wealth managers
- #7,663 of 8,915
- Rank among all SEC RIAs
- #14,664 of 17,210
- Rank in Illinois
- #622 of 684
- Individual clients
- 269
- High-net-worth clients
- 45
- Accounts
- 274
- Discretionary
- 53% of AUM
- Employees
- 25
- Advisory staff
- 16
- Offices
- 13
Owners and executives on its Form ADV
- George BokiosShareholder
- Skaiste AksomitaiteSecretary / Treasurer
- Victoria T. BokiosTrustee
- Michael D. ThomasDirector of Relationship Management
- Jeremy A. EngelbrechtChief Compliance Officer (interim)
Custody and brokerage
Broker-dealer
Hybrid RIA
Regal Advisory Services, Inc. is a hybrid RIA: 22 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Regal Securities, Inc..
- Regal Securities, Inc. ↗CRD 7297
An introducing broker-dealer: its trades clear through RBC Capital Markets and Hilltop Securities, which hold the brokerage accounts. Its annual audited report filed with the SEC, February 2026
Its Form ADV brochure (filed March 2026) names Regal Securities as the broker-dealer its advisers are registered with.
Custodian Investment Programs Please be advised that a certain number of the firm’s investment adviser representatives are registered with Regal Securities, Inc.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 45 | $49M | 40% |
| Individuals | 224 | $46M | 38% |
| Corporations or other businesses | 5 | $26M | 22% |
Disciplinary disclosures
Regal Advisory Services, Inc. answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗regaladvisoryservices.com ↗
AtlasMembers
The full record on Regal Advisory Services, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 4,808 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Regal Advisory Services, Inc. manage?
Regal Advisory Services, Inc. reports $121 million in regulatory assets under management across 274 accounts, 53% of it on a discretionary basis, on its Form ADV filed July 31, 2026.
What kind of firm is Regal Advisory Services, Inc.?
Regal Advisory Services, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Regal Advisory Services, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($49 million, 45 clients); individuals ($46 million, 224 clients); corporations or other businesses ($26 million, 5 clients).
Does Regal Advisory Services, Inc. have any disciplinary history?
Regal Advisory Services, Inc. answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Regal Advisory Services, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →