Regulus Financial Group
- Company typePrivate
- Founded-
- HeadquartersMichigan, United States
- Headcount—
- GTM typeB2B
- OfferingServices
Regulus Financial Group firmographics
Firmographics- Name
- Regulus Financial Group
- Legal name
- Regulus Financial Group, LLC
- Website
- https://regal-regulus.com
- Company type
- Private
- Operating status
- Operating
- Ownership category
- akta.pro rank
Regulus Financial Group industry classification
Industry- Product category
- Independent Broker-Dealer Services
- NAICS
- Portfolio Management and Investment Advice (523940), Securities, Commodity Contracts, and Other Financial Investments and Related Activities (523)
- SIC
- Security Brokers, Dealers & Flotation Companies (6211)
- akta.pro primary industry
- Independent Broker-Dealers (Retail Network) (FSAAAAAC)
- akta.pro secondary industry
- Independent Broker-Dealer / Registered Representative Networks (FSAEACAG)
Keywords
Where Regulus Financial Group is headquartered
LocationHeadquarters
- HQ city
- Michigan
- HQ country
- United States
- HQ region
- North America
Offices1 record
Markets served
Regulus Financial Group business model
Business model- GTM type
- B2B
- Offering type
- Services
- Cost components
- Personnel, Operations, Technology or R&D, Marketing or Sales, Others
Revenue model
- Broker-Dealer Services: Regulus Financial Group operates as a registered broker-dealer and member of FINRA/SIPC, providing securities-related services to affiliated financial advisors. Revenue is generated through the broker-dealer platform serving independent investment professionals.
Go-to-market motion1 record
Distribution channels1 record
Marketing channels3 records
Regulus Financial Group product offering
Product offeringCore offering
Regulus Financial Group operates as an independent broker-dealer (FINRA/SIPC member) that affiliates licensed financial advisors seeking independence from large wire houses and insurance conglomerates. Affiliated advisors gain access to a full scope of investment products, compliance support, insurance placement through major IMOs, marketing support, and an integrated technology platform anchored by the proprietary COMET paperless processing system, supplemented by MoneyGuidePro, Redtail CRM, and Xtiva.
Product overview
Regulus Financial Group operates as an independent broker-dealer offering a technology platform for affiliated financial advisors. The core platform is COMET, an on-demand paperless processing system for document management and workflow. This is supplemented by integrated third-party tools including MoneyGuidePro for financial planning, Redtail CRM for client relationship management, and Xtiva for compensation and sales tracking. Together, these tools provide a comprehensive tech infrastructure for advisors to manage their practices.
Differentiator
Problem solved
Functional benefit
Brands
- LionShare: Affiliate website of Regulus Financial Group.
- Regal Financial Group
- Regal Holdings
- Regal Charitable
- Regal Investment Advisors
Products and services
- COMET
Companies that use Regulus Financial Group
Customer profileSegments1 record
Ideal customer profiles1 record
Regulus Financial Group technology and API
TechnologyTechnology focussed No
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Integration3 records
Feature4 records
Regulus Financial Group partnerships and signals
Strategic signalPartnerships
Five partnerships are on record, tiered minor.
- World T.E.A.M. SportsminorRegulus supports World T.E.A.M. Sports' Face of America Bike Ride, a two-day event from Washington D.C. to Gettysburg honoring injured military veterans and active duty personnel. The ride is conducted in cooperation with Walter Reed National Military Medical Center.
- Van Andel InstituteminorRegulus supports VARI's biomedical research focused on cancer and Parkinson's disease with emphasis on translating scientific research into clinical applications. Located in downtown Grand Rapids, Michigan.
- Hunt for a CureminorRegulus partners with Hunt for a Cure and Michigan State University on research projects to cure Cystic Fibrosis, supporting cutting-edge research to save lives of children and young adults.
- Team Latvia LacrosseminorRegulus supports the Latvian Lacrosse Federation, which coordinates lacrosse development in Latvia through championships, international games, tournaments, and training programs. LLF is a member of FIL and European Lacrosse Federation.
- Armed Forces ThanksgivingminorRegulus supports Armed Forces Thanksgiving, which raises awareness of military contributions and provides educational opportunities for high school students to understand and honor military service.
Recent moves3 records
Expansion highlights3 records
Regulus Financial Group competitors and assessment
Company assessmentBroad incumbents
- Advisor Group: Large network of independent broker-dealer brands serving affiliated advisors. A scaled incumbent competing for the same advisor pool with broader resources and multiple sub-brands.
Direct peers
- Independent Financial Group: Independent broker-dealer and RIA focused on supporting independent financial advisors with back-office, technology, and compliance. Closely comparable in scale and advisor-centric positioning.
- Cetera Financial Group: Independent broker-dealer network serving thousands of advisors with a multi-brand, advisor-centric approach. Comparable in business model and target customer base.
- Cambridge Investment Research: Major independent broker-dealer serving independent financial advisors with a culture-focused, advisor-centric model similar to Regulus. Competes for the same advisor recruits seeking independence from wirehouses.
- LPL Financial: Largest independent broker-dealer in the U.S., providing broker-dealer, RIA, and technology services to affiliated financial advisors. Directly comparable as the scale benchmark for advisor-centric independent B/D models like Regulus.
- Western International Securities: Independent broker-dealer offering securities and advisory services to independent advisors. Comparable independent-IBD business model competing for the same advisor segment.
- Kestra Financial: Independent broker-dealer platform supporting financial advisors with technology, compliance, and back-office services. Comparable in target market and service offering to Regulus.
- Commonwealth Financial Network: Independent broker-dealer/RIA emphasizing advisor-centric culture, comprehensive technology stack, and service quality. Closely mirrors Regulus's value proposition around advisor autonomy and support.
- Securities America: Independent broker-dealer serving independent financial advisors with a technology and service platform. Direct competitor in the IBD space.
Others
- Apex Clearing: Clearing and custody infrastructure provider used by many independent broker-dealers. Comparable as ecosystem participant enabling IBD operations like Regulus.
Market position
Strengths5 records
Weaknesses5 records
Competitive moat2 records
Key risks6 records
Key highlights6 records
Customer concentration
Regulus Financial Group compliance and trust
Trust signalCompliance2 records
Regulus Financial Group financial estimates
Financial estimateRevenue estimate
Valuation estimate
Regulus Financial Group leadership team
Management profileNumber of profiles
Regulus Financial Group funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
Regulus Financial Group M&A and investment
M&A and investmentM&A
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about Regulus Financial Group
What does Regulus Financial Group do?
Regulus Financial Group operates as an independent broker-dealer (FINRA/SIPC member) that affiliates licensed financial advisors seeking independence from large wire houses and insurance conglomerates. Affiliated advisors gain access to a full scope of investment products, compliance support, insurance placement through major IMOs, marketing support, and an integrated technology platform anchored by the proprietary COMET paperless processing system, supplemented by MoneyGuidePro, Redtail CRM, and Xtiva.
Is Regulus Financial Group a public or private company?
Regulus Financial Group is a private company. It is classified as corporate owned and is currently operating.
When was Regulus Financial Group founded?
Regulus Financial Group was founded in -1.
Where is Regulus Financial Group based?
Regulus Financial Group is headquartered in Michigan, United States, in the North America region.
How does Regulus Financial Group make money?
One revenue line is on record: broker-Dealer Services.
Who are Regulus Financial Group's main competitors?
Advisor Group is listed as a broad incumbent. Direct peers are Independent Financial Group, Cetera Financial Group, Cambridge Investment Research, LPL Financial, Western International Securities, Kestra Financial, Commonwealth Financial Network and Securities America. Apex Clearing is listed as an others.
Does Regulus Financial Group have an API?
No public API is recorded for Regulus Financial Group.
What industry is Regulus Financial Group in?
Regulus Financial Group's product category is Independent Broker-Dealer Services. Its primary akta.pro industry code is FSAAAAAC, Independent Broker-Dealers (Retail Network), with a secondary code of FSAEACAG, Independent Broker-Dealer / Registered Representative Networks. Its NAICS code is 523940 and its SIC code is 6211.