Regal Investment Advisors

What Regal Investment Advisors does

Regal Investment Advisors, LLC is an SEC-registered investment adviser founded in 2000 and headquartered at 2687 44th Street SE, Kentwood, Michigan. The firm is a subsidiary of Regal Holdings of America, LLC and operates as part of a broader affiliated network that includes Lionshare, Regal Financial Group, Regulus Financial Group, and Regal Charitable. Its single product line is personalized investment advisory services, encompassing portfolio management, financial planning, and wealth management delivered to individual investors and high-net-worth clients in the United States. The firm explicitly states it carries no proprietary products and positions itself on three principles: Integrity, Innovation, and Independence, distinguishing itself from large wirehouse or captive broker-dealer models.

The business model is fee-based and recurring, with revenue generated through investment advisory fees charged to clients; the specific fee schedule is not publicly disclosed and is instead communicated through the firm's Form ADV Part 2A and Wrap Fee Program Brochure. The go-to-market motion is direct and sales-led: prospective clients reach the firm via a website inquiry form, phone contact (800-357-4757), or email ([email protected]), with services delivered through one-on-one advisor relationships. The firm employs 51-100 people and maintains a multi-channel digital presence (LinkedIn, Facebook, Twitter, YouTube, podcast, blog, email newsletter) used primarily for top-of-funnel awareness. Distribution is domestic-only (United States) and centered on a single physical office.

No proprietary technology platform, AI/ML capability, app, or API is disclosed in the available materials. The firm has no public funding rounds, no disclosed acquisitions or divestitures, and no recent product launches, and its growth signals are limited to continued operation under its existing affiliated structure. Compliance posture is anchored by SEC registration as an investment adviser and FINRA BrokerCheck verification.

Name

Regal Investment Advisors

Legal name

Regal Investment Advisors, LLC

Website

https://regalria.com

Company type

Private

Founded year

2000

Operating status

Operating

Headcount range

51–100 employees

Short description

Regal Investment Advisors is an SEC-registered investment adviser founded in 2000 and based in Kentwood, Michigan, providing personalized portfolio management and financial planning services to individual and high-net-worth clients across the United States.

Ownership category

akta.pro rank

Product category

Investment Advisory Services

NAICS

Portfolio Management and Investment Advice (523940), Portfolio Management and Investment Advice (52394)

SIC

Investment Advice (6282)

akta.pro primary industry

Registered Investment Advisor (RIA) Wealth Management (FSAEABAA)

akta.pro secondary industries

Advisory Portfolio Management (Non-Discretionary) (FSAAABAD), Investor Education, Research & Portfolio Analytics Services (Retail) (FSAAAAAO)

Keywords

• Investment advisory services
• Wealth management
• Financial planning
• Portfolio management
• SEC registered advisor

Headquarters

HQ city

Detroit

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2C

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Technology or R&D, Others

Revenue model

1. Investment Advisory Services: The firm generates revenue through investment advisory fees charged to clients for portfolio management and financial planning services. The specific fee structure (AUM-based, flat fee, or hourly) is not publicly disclosed and appears to be tailored to individual client relationships.

Go-to-market motion1 record

Distribution channels1 record

Marketing channels8 records

Core offering

Regal Investment Advisors is an SEC-registered investment advisory firm that provides personalized investment advisory services, including portfolio management, financial planning, and wealth management to individual investors and high net worth clients. The firm operates as an independent platform with no proprietary products, charging fees for advisory guidance and portfolio construction.

Product overview

Regal Investment Advisors is a single-focus investment advisory firm registered with the SEC. The company offers investment advisory services through its core platform, providing personalized financial guidance and portfolio management. The firm operates as a subsidiary of Regal Holdings of America, LLC and is affiliated with several related entities including Lionshare, Regal Financial Group, and Regulus Financial Group. Additional client-facing resources include the Client Relationship Summary, Form ADV Brochure (Part 2A), and Wrap Fee Program Brochure.

Differentiator

Problem solved

Functional benefit

Products and services

• Investment Advisory Services SEC-registered investment advisory services providing personalized financial guidance and portfolio management to individual investors and high net worth clients. The firm offers tailored advisory relationships for wealth management, financial planning, retirement planning, and portfolio construction.

Segments1 record

Ideal customer profiles1 record

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

One partnership is on record.

• Regal Holdings of America, LLCcoreOthersRegal Investment Advisors, LLC is a subsidiary of Regal Holdings of America, LLC. The parent company provides corporate oversight and is part of a broader ecosystem of financial services companies including Lionshare, Regal Financial Group, Regulus Financial Group, and Regal Charitable.

Recent moves2 records

Expansion highlights2 records

Direct peers

• Mariner Wealth Advisors: Large-scale independent RIA offering fee-based wealth advisory and financial planning to HNW and ultra-HNW clients. Directly comparable as a consolidator-style independent advisory platform competing for the same advisor recruitment and HNW client segments.
• Focus Financial Partners: Partnership-model platform for independent RIAs providing fiduciary wealth advisory services. Comparable in independent-fiduciary positioning and in operating as a hub for affiliated advisory firms sharing back-office and compliance infrastructure.
• Carson Group: Independent advisor-focused wealth management firm offering investment advisory and financial planning services to individuals. Mirrors Regal's model of recruiting independent advisors under a unified brand and providing centralized compliance and technology support.
• Commonwealth Financial Network: Private independent broker-dealer/RIA supporting financial advisors with practice management and fee-based advisory offerings. Comparable as a privately held, independent platform with a similar advisor-recruitment-driven growth motion.
• Wealth Enhancement Group: Independent wealth management firm offering personalized investment advisory and financial planning services to HNW clients. Comparable as a mid-market independent RIA that has scaled via advisor recruitment and tuck-in acquisitions.

Broad incumbents

• Edelman Financial Engines: One of the largest independent RIAs in the U.S., serving mass-affluent through ultra-HNW clients with financial planning and investment advisory. Comparable independent-RIA platform but at materially larger scale and broader service breadth.
• LPL Financial: Largest independent broker-dealer and RIA custodian/platform in the U.S., providing compliance, technology, and clearing services. Comparable in serving independent RIAs seeking platform support, though LPL also competes as an advisor-affiliated brand.
• Cetera Financial Group: Independent broker-dealer and RIA platform serving financial advisors with wealth management and advisory offerings. Comparable in supporting independent advisors and competing for retail/HNW advisory relationships.
• Cambridge Investment Research: Privately held independent broker-dealer and RIA supporting independent financial advisors with fee-based advisory practices. Comparable as a privately owned, advisor-centric platform serving independent RIA-like advisors.

Regional players

• Plante Moran Financial Advisors: Michigan-based SEC-registered investment adviser affiliated with Plante Moran, serving individuals, families, and institutions with wealth advisory services. Comparable as a Midwest-region RIA operating from the same Michigan geography as Regal.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat3 records

Key risks5 records

Key highlights5 records

Customer concentration

Compliance1 record

Revenue estimate

Valuation estimate

Number of profiles

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Regal Investment Advisors