Regency Investment Advisors Inc
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$784,188,675
This total excludes 87 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
716
29% high-net-worth
Advisors
1
of 15 employees
Firm type
Team
5-30 advisors or >$500M in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
716
Very HighAverage account size
$1,095,236
About
Regency Investment Advisors serves individuals (including high‑net‑worth clients), trusts, pension and profit‑sharing plans, charitable organizations, and corporations, providing discretionary and non‑discretionary investment supervisory/portfolio management, financial planning, and other portfolio management services such as held‑away account oversight. The firm also provides retirement plan advisory services and may recommend stable value Collective Investment Trusts as a low‑risk money‑market alternative for qualified plans.
The firm’s investment process emphasizes asset allocation across mutual funds, ETFs, fixed income, real assets and alternatives, using fundamental, technical and qualitative analysis, periodic rebalancing, and tactical adjustments when warranted. Regency relies on third‑party model portfolios and technology support (notably BlackRock and 55IP) and predominantly implements strategies with no‑load mutual funds and iShares ETFs.
Regency manages over $1 billion in client assets and uses third‑party platforms such as Pontera Solutions to review and rebalance held‑away accounts while avoiding custody, a practice that distinguishes its operational approach. The ADV discloses material conflicts of interest tied to receipt of research, models, and other services from BlackRock and 55IP, notes the firm has no affiliates, and describes participation in educational conferences and events made available through custodians.
Client services
Financial planning
Portfolio management
Pension consulting
Educational seminars or workshops
Expertise
College savings (529s, UTMA, etc.)
Wealth management
Fee options
Financial planning fees may be fixed and negotiated; specific amounts not stated.
0.60% to 1.20% (negotiable based on client and retirement plan type)
Financial planning hourly fees generally $200 to $300 per hour.
Account minimum: $250,000 Fee-only: 0.60% to 1.20% annually based on assets under management; fees negotiated individually; no commissions received.
Main office location
Regency Investment Advisors Inc
1312 W Herndon, Suite 101
Fresno CA 93711, United States
Number of offices
1
Most active in
Regency Investment Advisors Inc has reported serving >5 clients in these states in the last 12 months.
California · Florida · Nebraska · Nevada · Oregon · Texas
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:
-
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.
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