Thursday, October 22, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
RB An Amazon intern in 2020, Nevis CEO Mark Swan is the unlikely dream weaver for Focus Financial and other big RIA rollups with 'nightmare' integration issues -- with help from Schwab, Fidelity, OpenAI and AnthropicIN SpaceX’s AI segment now drives more than half its revenue. Here’s what advisors should watch nextFP Why AI might recommend your competitor instead of youFP Why clients are choosing phased retirement — and what advisors should know4K SPARK Forum Offering Scholarships for Retirement Plan AdvisorsFP What Schwab's new ETF platform fees mean for clients, advisorsWM RIA Platform Leaders Ask ‘What’s the Advantage in Having Your Own Form ADV?’IN Fake e-vite phishing scams put high-net-worth clients at riskRB Rick Wurster says Schwab is tackling its forced rationing of long/short SMAs with proprietary 'offering' to stretch balance sheet, but it may be more about a fee upside, a long/short manager saysIN Fintech bytes: 55ip, Vise, Syntax push tax-smart tools for RIAs

Asset manager · Chicago, IL

Regiment Capital Advisors, LLC

SEC-registered investment adviser · CRD 339622 · SEC 801-135384

At a glance

Regiment Capital Advisors, LLC is an SEC-registered investment adviser based in Chicago, Illinois, with $0 in regulatory assets under management as of its Form ADV filed August 25, 2026. By Form ADV it is a asset manager, ranked 2,853rd of 3,218 asset managers and 16,838th of 17,210 SEC-registered advisers by assets.

Main office 773-480-7561As filed on Form ADV

Regulatory AUM
$0M
Rank among asset managers
#2,853 of 3,218
Rank among all SEC RIAs
#16,838 of 17,210
Rank in Illinois
#676 of 684
Clients
0
Accounts
0
Discretionary
0% of AUM
Employees
1
Advisory staff
1
Offices
1

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Regiment Capital Advisors, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Hybrid RIA

Regiment Capital Advisors, LLC is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Regiment Securities, LLC..

Other hybrid RIAs

Disciplinary disclosures

Regiment Capital Advisors, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗

Services

  • Portfolio management for individuals and small businesses

How it’s paid

  • A percentage of assets under management

Form ADV and brochures on the SEC’s adviser search ↗

AtlasMembers

The full record on Regiment Capital Advisors, LLC

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 from each filing
Locked
Growth over one, three and five years
Locked
Rank against 626 peers of its type and size
Locked
Owners and executives, with titles and stakes
1 namedLocked
Main office, fax and compliance officer
Locked
Filing changes this year, with alerts
2Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Regiment Capital Advisors, LLC manage?

Regiment Capital Advisors, LLC reports $0 in regulatory assets under management, on its Form ADV filed August 25, 2026.

What kind of firm is Regiment Capital Advisors, LLC?

Regiment Capital Advisors, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.

Does Regiment Capital Advisors, LLC have any disciplinary history?

Regiment Capital Advisors, LLC 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 Regiment Capital Advisors, 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 (2026-08-25), 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 →