Reg Capital Advisors
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$1,696,282
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
REG Capital Advisors is a small, state-registered investment adviser that primarily manages pooled and institutional assets on a discretionary basis and also provides portfolio management to individuals, IRAs, corporations and charitable organizations. Although many investment-manager firms focus largely on institutions or pooled vehicles, this firm also accepts individual clients across wealth levels, including both non‑high‑net‑worth and high‑net‑worth individuals.
The firm follows a "Value Plus Favorable Change" approach, using fundamental, technical and cyclical analysis alongside proprietary research and direct company engagement to construct concentrated portfolios of smaller-cap companies. While the strategy is generally long-term, the adviser may employ short-term trading, short sales, inverse ETFs and limited options usage, with such tactics more commonly used in accounts subject to performance-based compensation.
Noteworthy features include the availability of performance-based fee arrangements for legally qualified clients with contractual safeguards such as a cumulative high-water mark and stated policies to mitigate side‑by‑side management conflicts. As a single-advisor, modestly sized firm managing a concentrated set of small-cap positions, its active use of short selling and inverse ETFs and its blend of institutional and individual client relationships distinguish it from many peers.
Client services
Portfolio management
Expertise
Active portfolio management
Concentrated stock management
Options & derivatives strategies
Tax-loss harvesting
Fee options
20% of net profits annually subject to a high water mark
Account minimum: $250,000
Main office location
Reg Capital Advisors
Southport NC, United States
Number of offices
1
Most active in
Reg Capital Advisors has reported serving >5 clients in these states in the last 12 months.
North Carolina
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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