Wealth manager, independent · EL Segundo, CA
Regatta Capital Group, LLC
SEC-registered investment adviser · CRD 145363 · SEC 801-68490
At a glance
Regatta Capital Group, LLC is an SEC-registered investment adviser based in EL Segundo, California, with $1.6B in regulatory assets under management as of its Form ADV filed July 31, 2026. It reports 1,088 individual clients, 471 of them high-net-worth, holding an average of about $1.2 million each, and 18 employees. That ranks it 700th among the nation’s 5,657 independent wealth management RIAs and 84th of 714 in California. It reports Fidelity as the custodian for its clients’ separately managed accounts.
Main office 310-725-9102regattainvest.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.6B
- Rank among independent wealth managers
- #700 of 5,657
- Rank among all SEC RIAs
- #4,175 of 17,210
- Rank in California
- #84 of 714
- Individual clients
- 1,088
- High-net-worth clients
- 471
- Accounts
- 3,847
- Discretionary
- 92% of AUM
- Employees
- 18
- Advisory staff
- 14
- Offices
- 6
Owners and executives on its Form ADV
- Russell R. MohbergManaging Member, Co-Founder, Partner, and Chief Compliance Officer
- Spencer S. KellyPrincipal, Managing Member, Co-Founder, Partner, and Head of Advisory Services
- Nicholas K. OzerPartner, Financial Advisor, and Director of Retirement Plans
- Britt M. JoyceCo-Cio & Director of Endowments & Foundations
Custody and brokerage
Broker-dealer
No broker-dealer ties
Regatta Capital Group, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 471 | $1.1B | 73% |
| Individuals | 617 | $192M | 12% |
| Pension and profit sharing plans | 48 | $153M | 10% |
| Charitable organizations | 10 | $27M | 2% |
| Corporations or other businesses | 15 | $26M | 2% |
| Pooled investment vehicles | 4 | $15M | <1% |
Private funds
Regatta Capital Group, LLC reports 4 private funds with $15M in gross assets: venture capital funds (Form ADV Item 7.B).
Disciplinary disclosures
Regatta Capital Group, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Pension consulting
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗regattainvest.com ↗
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- 4 namedLocked
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Similar-size RIAs in California
All of California →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Telos Capital Management, Inc.SAN Diego | $1.6B | 924 |
| Pasadena Private Wealth, LLCPasadena | $1.6B | 432 |
| Burton Enright WelchWalnut Creek | $1.6B | 612 |
| Benefit Financial Services GroupIrvine | $1.5B | 861 |
| Tamar Securities, LLCWoodland Hills | $1.5B | 4,198 |
| Compak Asset ManagementNewport Beach | $1.5B | 1,734 |
Background
Questions
How much does Regatta Capital Group, LLC manage?
Regatta Capital Group, LLC reports $1.6B in regulatory assets under management across 3,847 accounts, 92% of it on a discretionary basis, on its Form ADV filed July 31, 2026.
How many clients does Regatta Capital Group, LLC have?
It reports 1,088 individual clients: 471 high-net-worth individuals and 617 other individuals. Individuals account for about 86% of its regulatory assets.
Where is Regatta Capital Group, LLC headquartered?
Its main office is in EL Segundo, California. It reports 6 offices in total and 18 employees, 14 of whom perform investment advisory functions.
How does Regatta Capital Group, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees; performance-based fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Regatta Capital Group, LLC use?
It reports Fidelity as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed July 31, 2026, it reports these amounts held: Fidelity ($1.4B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Regatta Capital Group, LLC a hybrid RIA with a broker-dealer?
Regatta Capital Group, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Regatta Capital Group, LLC a fiduciary?
As an SEC-registered investment adviser, Regatta Capital Group, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Regatta Capital Group, LLC’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). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. 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 →