Viceroy Investment Advisors LLC

Viceroy provides investment advisory and financial planning services to individuals and the entities those individuals establish as part of their overall financial plans. The firm offers ongoing discretionary and non-discretionary portfolio management along with project-based financial advisory on insurance, estate, retirement and tax-related topics.

The firm limits client investments to U.S. exchange-traded securities and generally constructs portfolios using co-mingled 40 Act funds (mutual funds, ETFs, closed-end funds), while also employing REITs, BDCs or individual securities when appropriate. Investment decisions weigh fundamental attributes, underlying collateral and portfolio role, and the brochure frames risk across three layers—Viceroy Risk, Vehicle Risk and Security Risk—to describe potential loss exposures.

Viceroy manages a modest asset base for a limited number of clients and operates a compact advisory model, offering standalone project engagements and assessing potential profitability before taking on new relationships. Notable features include an SLOA custody arrangement covering $5.5 million across four clients, the firm’s principal holding both CFA and CFP credentials and maintaining a part‑time commercial real estate activity (about five hours per week), and reliance on Schwab Advisor Services for custody and institutional support.