Regal Capital Management, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$41,363,266
Clients
165
Advisors
1
of 1 employees
About
The firm provides personalized investment advice, portfolio structuring, asset allocation, and financial planning services — including insurance-related planning — to individuals, high-net-worth clients, trusts and estates, as well as charitable organizations and pension or profit-sharing plans (including IRAs). It delivers both discretionary and non-discretionary portfolio management and prepares periodic performance and comparative reports for clients.
The firm’s investment approach emphasizes traditional, long-term strategies grounded in asset allocation and risk tolerance, avoiding more exotic instruments like options or retail hedge funds, and employs research and software tools to monitor accounts at least annually. It also counsels clients on non-securities holdings such as real estate and insurance and performs agreed-upon administrative functions related to portfolio management.
What distinguishes the firm from many peers is its routine work with institutional-style clients and plan sponsors — providing portfolio management and pension consulting services that are less common among independent advisers of similar size — alongside its work for charitable organizations. The firm’s principal is a licensed insurance agent who incorporates life, health, and fixed-annuity products into financial planning (with minimal commissions reported), and the firm operates primarily on a fee-only basis while encouraging third-party custodianship of client assets.
Client services
Expertise
Fee options
$0 - $200,000: 1.20% $200,000 - $1,000,000: 1.10% $1,000,000 - $2,500,000: 1.00% $2,500,000 - $5,000,000: 0.75% $5,000,000+: Negotiable
$100 to $150 per hour depending on project complexity
Fee-only: Fee-only; no commissions except minimal insurance work
Main office
631 X Street
Bedford IN 47421
Advisors at this office
1
Most active in
Indiana · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)