Regan & Associates

What Regan & Associates does

Regan & Associates, Inc. is a privately held professional services firm founded in 1991 by Artie Regan and headquartered at 505 Eighth Avenue in New York City. The firm specializes in proxy solicitation and shareholder services for publicly held companies, with an explicit focus on the banking industry where it claims to be the only dedicated proxy solicitation specialist. Its service portfolio spans proxy solicitation and tabulation for annual and special shareholder meetings, proxy fights and contested elections, tender and exchange offers, consent solicitations, independent Inspector of Election services, information agent services, investor and media relations, ownership identification, and broker/bank search notifications. The firm also operates a credit union-to-bank conversion practice, evidenced by its role in HarborOne Credit Union's 2013 conversion to HarborOne Bank.

The business model is event-based professional services fees rather than recurring subscriptions or software licensing. Pricing is quote-based and not publicly disclosed; engagements are sourced through direct client relationships with corporate issuers, institutional investors, brokers, lawyers, and Transfer Agents, supplemented by thought-leadership content (a proxy glossary, industry news section, and articles) and conference participation. The go-to-market is sales-led and direct, with the firm retained by both U.S. and international publicly held companies, though only a small set of named engagements is publicly visible (Taylor Devices, HarborOne Credit Union, Karpus Investment Management, First Financial Northwest).

The company is founder-owned and -led, with a lean team of approximately 1-10 employees including a CTO (Phil Pace, career Chase technologist), Executive Vice President (James M. Dougan, 23+ year tenure), and Senior Vice Presidents with decades of transfer-agent and financial-services experience. There is no proprietary software platform, no disclosed AI/ML capabilities, no funding rounds, no acquisitions, and no parent company. Technology infrastructure is described as supporting shareholder meeting logistics and tabulation rather than constituting a productized offering, positioning Regan & Associates as a relationship-driven, expertise-based professional services firm rather than a technology company.

Name

Regan & Associates

Legal name

Regan & Associates, Inc.

Website

https://reganproxy.com

Company type

Private

Founded year

1991

Operating status

Operating

Headcount range

1–10 employees

Short description

Regan & Associates is a privately held New York-based professional services firm founded in 1991 that provides proxy solicitation, vote tabulation, and shareholder services to publicly held companies, with a stated specialization in the banking industry and select credit union conversions.

Ownership category

akta.pro rank

Product category

Proxy Solicitation Services

NAICS

Media Representatives (54184), Marketing Consulting Services (541613)

SIC

Security Brokers, Dealers & Flotation Companies (6211)

akta.pro primary industry

Investor Relations (IR) & Capital Markets Communications (MPAAADAH)

akta.pro secondary industry

Investor Relations (IR) Services (BPAFADAC)

Keywords

• Proxy solicitation services
• Shareholder meeting services
• Vote tabulation services
• Banking proxy services
• Corporate governance services

Headquarters

HQ city

New York

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Proxy Solicitation Services: Revenue is generated through professional service fees for proxy solicitation and tabulation services for annual and special shareholder meetings, proxy fights/contests, tender and exchange offers, consent solicitations, and corporate governance related issues. The firm also provides ancillary services including information agent services, investor/media relations, and ownership identification services.

Go-to-market motion1 record

Distribution channels1 record

Marketing channels5 records

Core offering

Regan & Associates is a professional services firm that provides proxy solicitation and tabulation services for shareholder meetings and corporate governance events. The firm is retained by publicly held companies for annual meetings, special meetings, proxy fights/contests, tender and exchange offers, rights offerings, and consent solicitations, with a particular specialization in the banking industry. It also provides ancillary services such as information agent services, investor/media relations, ownership identification, and broker/bank search notification.

Product overview

Regan & Associates operates as a service-based proxy solicitation and shareholder services firm, not a software product company. The company offers a suite of professional services centered around proxy solicitation, vote tabulation, and shareholder meeting management. Core offerings include proxy solicitation and tabulation for annual and special shareholder meetings, proxy fights/contests, tender and exchange offers, consent solicitations, and independent inspector of elections services. Additional services encompass investor/media relations, ownership identification of top investors, and broker/bank search notification services. The firm specializes in the banking industry and serves both U.S. and international publicly held companies.

Differentiator

Problem solved

Functional benefit

Products and services

• Proxy Solicitation and Tabulation Services Core proxy solicitation and vote tabulation service for annual and special shareholder meetings, including proxy fights and contested elections, delivered to publicly held companies with a specialization in the banking industry.
• Tender and Exchange Offer Services Facilitates tender offers, exchange offers, Dutch auctions, and odd-lot buy-backs for corporate actions undertaken by publicly held companies.
• Consent Solicitations Manages consent solicitation processes for corporate governance changes and indenture/debt modifications on behalf of publicly held companies.
• Tabulation and Independent Inspector of Elections Services Provides vote tabulation services and acts as independent Inspector of Elections for shareholder meetings, including annual and special meetings of publicly held companies.
• Information Agent Services Provides information agent services in connection with tender offers and other corporate actions for publicly held company clients.
• Investor/Media Relations Services Manages investor communications and media relations for corporate clients engaged in shareholder events and corporate actions.
• Ownership Identification Services Identifies and analyzes top investors and shareholder ownership patterns for corporate clients preparing for shareholder meetings or corporate actions.
• Broker/Bank Search Notification Services Fulfills broker/bank search notification requirements and handles street distribution of shareholder materials on behalf of corporate clients.

Named customers4 records

Segments3 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Scale indicators3 records

Recent moves4 records

Expansion highlights3 records

Market position

Competitive moat4 records

Key risks6 records

Key highlights6 records

Customer concentration

• Facebookfacebook.com/Regan-Associates-Inc-Proxy-Solicitor-155349134520450

Revenue estimate

Valuation estimate

Number of profiles

Profiles5 records

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 Regan & Associates