Regatta Financial LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Regatta Financial LLC provides discretionary asset management along with financial planning and consulting services to individuals and business entities. The firm documents client goals and risk tolerances, permits client-imposed investment restrictions, and offers targeted consultation on topics such as retirement strategy, cash flow, tax-reduction measures, and estate preservation.
Portfolios are constructed and monitored to align with each client’s stated objectives and time horizons using methods that include technical analysis, charting, and Modern Portfolio Theory, with accounts reviewed at least quarterly and discretionary trading authority granted under the investment agreement. Financial planning can be delivered as a full plan or as consultation on individual topics, with updates available as client circumstances change.
Notably, the firm’s brochure discloses client-facing consulting and retirement-planning work that overlaps with pension-consulting services, and it offers financial planning on hourly or fixed-fee bases in addition to asset-based management—features that are uncommon among peers in this category. The brochure also discloses that the firm’s principal maintains outside businesses as an insurance agent and a medical sales professional and describes related conflict disclosures and mitigation procedures.
Client services
Expertise
Fee options
Financial planning flat fees from $5,000 to $10,000
up to 2% annually (negotiable)
Investment Advisor Representative receives commissions on insurance products sold as licensed insurance agent
Financial planning services charged at $400 per hour
Account minimum: $50,000 (may be lowered or waived in certain instances) Fee-only: Asset management fees up to 2% annually, negotiable; Financial planning hourly fee $400/hour; Fixed financial planning fees between $5,000 and $10,000
Main office
Gaithersburg MD
Advisors at this office
1
Most active in
Maryland
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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
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