Wealth manager, independent · Honolulu, HI
Regency Capital Management Inc.
SEC-registered investment adviser · CRD 312435 · SEC 801-120277
At a glance
Regency Capital Management Inc. is an SEC-registered investment adviser based in Honolulu, Hawaii, with $364 million in regulatory assets under management as of its Form ADV filed March 4, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 116 individual clients. By Form ADV it is a wealth manager, ranked 3,799th of 8,915 wealth managers and 9,241st of 17,210 SEC-registered advisers by assets.
Main office 808-451-3193regencycm.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $364M
- Rank among wealth managers
- #3,799 of 8,915
- Rank among all SEC RIAs
- #9,241 of 17,210
- Rank in Hawaii
- #7 of 20
- Individual clients
- 116
- High-net-worth clients
- 69
- Accounts
- 371
- Discretionary
- 100% of AUM
- Employees
- 5
- Advisory staff
- 2
- Offices
- 2
Owners and executives on its Form ADV
- Neil T. RoseCEO
- Arthur J. MalletPresident, COO, CCO
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 69 | $326M | 90% |
| Individuals | 47 | $18M | 5% |
| Corporations or other businesses | 4 | $9M | 2% |
| Pooled investment vehicles | 1 | $5M | 1% |
| Charitable organizations | 3 | $4M | 1% |
| Pension and profit sharing plans | 3 | $2M | <1% |
Private funds
Regency Capital Management Inc. reports 1 private funds with $2M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Regency Capital Management Inc. 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
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗regencycm.com ↗
AtlasMembers
The full record on Regency Capital Management 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, 4 years of filings
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- Growth over one, three and five years
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- Rank against 6,253 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- 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 Regency Capital Management Inc. manage?
Regency Capital Management Inc. reports $364 million in regulatory assets under management across 371 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 4, 2026.
What kind of firm is Regency Capital Management Inc.?
Regency Capital Management 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 Regency Capital Management Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($326 million, 69 clients); individuals ($18 million, 47 clients); corporations or other businesses ($9 million, 4 clients).
Does Regency Capital Management Inc. manage private funds?
Yes. It reports 1 private funds with $2 million in gross assets, including hedge funds.
Does Regency Capital Management Inc. have any disciplinary history?
Regency Capital Management Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Regency Capital Management 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 (2026-03-04), 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 →