Erie, PA W 12th St Office
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Regal Investment Advisors LLC
Multi-team
Firm-wide stats for Regal Investment Advisors LLC
About
Regal Investment Advisors, doing business as LionShare, provides model portfolio implementation and discretionary investment management to unaffiliated SEC- and state-registered advisers (Primary Advisors) and, through them, to their individual, high-net-worth, and corporate clients. The firm operates an enterprise-scale sub-advisory platform managing roughly $2.88 billion across proprietary and third-party Strategies and works with a network of IARs and Primary Advisors rather than maintaining direct advisory relationships with end clients.
LionShare implements Strategies selected by Primary Advisors, offering internally managed Proprietary Strategies (including Dividend Plus, Regalfolios, Dunamis, Durand, LionShare Model Allocation Series, and LionShare Partner Series) alongside Third-Party Strategies, and performs trade execution, rebalancing, and overlay management for those models. Under this sub-advisory model LionShare exercises day-to-day trading discretion within strategy parameters while Primary Advisors remain responsible for client suitability, communications, and fiduciary duties.
The firm markets its proprietary offerings and, according to its disclosures, may present predecessor or prior-manager performance information for strategies, a practice that is less common among enterprise peers and relevant when evaluating historical returns. Regal is part of a broader financial services enterprise with an affiliated broker-dealer, disclosed revenue-sharing arrangements with certain mutual funds, and a prior SEC enforcement matter (including disgorgement and penalties) noted in its ADV, all of which bear on potential conflicts and oversight.
Based on Regal Investment Advisors LLC
Expertise
Based on Regal Investment Advisors LLC
Location
3800 W 12th St, Ste 2
Erie PA 16505
Advisors at this office
2
Advisors at this office
James R
CFA®, Series 63, Series 65
Erie, PA
Regal Investment Advisors LLC
James Reim is a CFA® charterholder with 42 years of industry experience. He is currently with Regal Investment Advisors LLC and has previously worked at Regulus, LLC, The Investment Center, Inc., and IC Advisory Services, Inc. Reim serves as treasurer and volunteer on the board of directors for the Methodist Towers Independent Living Senior Center and participates in financial education through the American Financial Education Alliance. Regal Investment Advisors LLC provides discretionary investment management services to independent advisers and their clients, offering a range of proprietary and third-party model portfolios that include equities, fixed income, and option overlays. The firm serves individual, charitable, and corporate clients through its network of financial advisers.
Jeffrey G
Series 63, Series 65
Erie, PA
Regal Investment Advisors LLC
Jeffrey Gibbens is a financial advisor with Regal Investment Advisors LLC in Erie, PA, holding Series 63 and Series 65 credentials and bringing 39 years of industry experience. He has worked previously with Regulus Financial Group, LLC, IC Advisory Services, Inc., and The Investment Center Inc. Outside of finance, he is a professional musician playing trumpet, flugelhorn, bass, and drums, a role he has maintained since 1980. He also serves as a chapter president and instructor for the American Financial Education Alliance and as a trustee for the local American Federation of Musicians. Regal Investment Advisors LLC, operating as LionShare, provides discretionary investment management services primarily to independent investment adviser representatives and their clients, including individuals, charitable organizations, and businesses. The firm offers a variety of proprietary and third-party investment strategies and maintains discretionary authority to implement and manage portfolios on behalf of clients.
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