Investment Management

Regency’s goal is to minimize risk and add value to your portfolio.
We believe investment management is simply the thoughtful oversight of the client’s investments with the ultimate goal of meeting, or exceeding, their objectives.

Why an Investment Advisor?

There is one thing certain to be said about investing: markets can be very uncertain. Most investors do not have the knowledge, time, nor patience to guide their investments through turbulent times that inevitably arise. For the average investor, the stakes are simply too high. Qualified professional advisors can assist individuals, trusts, businesses, retirement plans and non-profits.

What questions should you ask when choosing an investment adviser?

  • What is your industry experience?
  • What is your education and employment history?
  • What licenses and certifications do you hold?
  • Are you registered with the SEC, the state, or the Financial Industry Regulatory Authority (FINRA)?
  • What services do you offer? Are you limited in what investment products you can offer to me? If so, why?
  • How are you paid? Do you receive commissions?
  • Have you ever been disciplined by a regulatory agency?
  • Can you send me a copy of your Form ADV if you are registered with the SEC as a registered investment adviser

Our Approach

Regency uses a top down approach to money management, with a goal to minimize risk and add value to your portfolio. Here are some of Regency’s principles:
  • Diversify to minimize risk (security, asset class, manager and style diversification).
  • Apply a consistent, systematic investment approach
  • Monitor investment managers on an on-going basis
  • Utilize a team approach to investment management
  • Perform periodic rebalancing to ensure portfolios stay on track
  • Challenge our assumptions and pursue constant improvement

Why Regency?

Our clients are the focus of our business and we take pride in offering exceptional client service. The team at Regency has years of experience and a relentless work ethic.

How are we different than a typical retail broker? Our service is fee based and clients only pay a reasonable, transparent, and comprehensive fee. We receive no commissions of any kind, thus eliminating this major conflict of interest. Additionally, our recommendations are independent of any other entity and must make sense for our clients. Our portfolio management team has no bias toward any manager, or company. The platforms we use allow us to hire and terminate managers at no expense to our clients, thus further eliminating conflicts. Simply put, we work for you.

The Regency Difference

Decades of Experience

Regency’s team consists of financial professionals who are committed to demonstrating our high standards of service and true value in every client interaction. Our comprehensive financial expertise and real-world experience guides and informs our every decision and suggestion to our clients.

Focused on Relationships

Founded on the vision of relationship-driven advisory services, we endeavor to build lasting relationships with our clients. As appropriate, Regency will introduce you to unaffiliated professionals or coordinate with your existing professionals, to help you implement your financial plan.

Driven by Value

We differ from typical brokers by adopting a fee-based model, rather than one based on commissions and sales-driven motivations. Because our solutions are based on a reasonable and transparent fee, our advisory services are motivated by what’s best for our clients, not a third-party interest.

Your Future. Your Family. Our Focus.
Get in touch today for an introduction to Regency Investment Advisors and our services