REGENCY INVESTMENT ADVISORS INC
Latest filing: Mar 18, 2025 (101 days ago)
AUM
$1,013,305,689
15% change vs. 1 year ago
30% change vs. 3 years ago
94% change vs. 5 years ago
237% change vs. 10 years ago
Employee Count
15
7% change vs. 1 year ago
0% change vs. 3 years ago
-6% change vs. 5 years ago
67% change vs. 10 years ago
Main Office
FRESNO, CA
1312 W HERNDON, SUITE 101, FRESNO, CA, UNITED STATES, 93711
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $1.0 |
| Non-Discretionary | $0.1 |
| Total | $1.0 |
| Client | AUM |
|---|---|
| Retail | $0.7 |
| Pooled | $0.0 |
| Institutional | $0.3 |
| Total | $1.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 506 | $0.2 |
| Average Individual AUM | $308,939 | |
| HNW | 200 | $0.5 |
| Average HNW AUM | $2,749,982 | |
| Retail Total | 706 | $0.7 |
| Average Retail AUM | $1,000,453 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $0.8 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $1.0 |
| Retail SMA AUM | $0.7 |
| Institutional SMA AUM | $0.3 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 5% | $0.1 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 12% | $0.1 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 77% | $0.8 |
| Other Pools | 0% | $0.0 |
| Cash | 5% | $0.1 |
| Other | 0% | $0.0 |
| Total | 100% | $1.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| MARK PRENDERGAST | $0.0 | accountancy | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
17 active
| Name | Title |
|---|---|
| RAY, PHILIP, DANIEL | DIRECTOR & PRESIDENT, INDIRECT OWNER |
| DECK, MARCI, LYNNE | DIRECTOR/CHIEF COMPLIANCE OFFICER/CFO/SECRETARY, INDIRECT OWNER |
| LONGATTI, ROBERT, JAMES | DIRECTOR |
| PRENDERGAST, MARK, LOUIS | DIRECTOR |
| COMSTOCK, CHRISTOPHER, LOUIS | INDIRECT OWNER, DIRECTOR / VICE PRESIDENT |
| MYERS, JUDSON, RAY | DIRECTOR / OWNER |
| FAZIO, ANTHONY, DOMINIC | CHIEF EXECUTIVE OFFICER / DIRECTOR |
| WHITT, JEREMY, J | OWNER |
| WOESNER, KELLY, MICHELLE | OWNER |
ADVDB.CO • SOURCE: SEC
Representatives
8 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| RUSSELL MALTES | FRESNO | CA | S66|2001-01-22 | CERTIFIED FINANCIAL PLANNER | |||||
| CHRISTOPHER COMSTOCK | FRESNO | CA | S65|2008-07-19 | CERTIFIED FINANCIAL PLANNER | |||||
| JEREMY WHITT | FRESNO | CA | S65|2022-02-18 | ||||||
| JUDSON MYERS | FRESNO | CA | S63|1998-01-29 | CHARTERED FINANCIAL ANALYST | |||||
| PHILIP RAY | FRESNO | CA | S63|1990-12-12 | CERTIFIED FINANCIAL PLANNER | |||||
| NOAH MENEZES | FRESNO | CA | S65|2023-09-06 | ||||||
| RYAN BARNES | FRESNO | CA | S66|2018-11-08 | ||||||
| WADE WALLACE | FRESNO | CA | S65|2019-05-13 | CERTIFIED FINANCIAL PLANNER | |||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $1.0 | $0.0 | 0% | 15 | 0 | 0% |
| 2025-04-21 | $1.0 | $0.0 | 0% | 15 | 0 | 0% |
| 2024-04-02 | $0.9 | $0.1 | 15% | 14 | 1 | 7% |
| 2023-04-04 | $0.7 | $0.3 | 49% | 14 | 1 | 7% |
| 2022-04-01 | $0.8 | $0.2 | 30% | 15 | 0 | 0% |
| 2021-04-05 | $0.7 | $0.4 | 56% | 15 | 0 | 0% |
| 2020-04-01 | $0.5 | $0.5 | 94% | 16 | -1 | -6% |
| 2019-04-01 | $0.4 | $0.6 | 126% | 12 | 3 | 25% |
| 2018-04-02 | $0.4 | $0.6 | 131% | 12 | 3 | 25% |
| 2017-04-01 | $0.3 | $0.7 | 199% | 10 | 5 | 50% |
| 2016-04-01 | $0.3 | $0.7 | 231% | 9 | 6 | 67% |
| 2015-04-01 | $0.3 | $0.7 | 237% | 9 | 6 | 67% |
| 2014-04-01 | $0.3 | $0.7 | 270% | 8 | 7 | 88% |
| 2013-04-01 | $0.2 | $0.8 | 353% | 7 | 8 | 114% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CA, CA-07/29/1993, FL-08/25/2021, NV-10/29/2020, OR-06/28/2016, TX-01/05/2022 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV