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Regis Management Company Review

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Regis Management Company, registered in 2008, is a Registered Investment Advisor (RIA) in 2 state(s) with a licensed staff of 5 advisors. Regis Management Company manages $3.7 billion and provides investment advisory services for 53 clients (1:11 advisor/client ratio).



Disciplinary Questions


After checking the disciplinary records of Regis Management Company, our system found no disciplinary questions to ask. Checks take place monthly.


Conflict Questions


After checking the regulatory records of Regis Management Company, our system has identified the following question(s) to ask. Learn more.

announcement Do you offer mutual funds that have 12b-1 fees?

Why ask? 12b-1 fees increase the total annual cost of owning a mutual fund with no guarantee of higher returns. Some firms receive these fees as payments, which creates an incentive to promote them.

announcement Regulatory disclosures state that your firm sells proprietary investments and products. Please provide me a list of the products and a summary of how much you earn from them.

Why ask? This firm recommends proprietary investments and products that could generate larger commissions than other similar non-proprietary products. This could also limit the number and diversity of investment options available to you and may impact their transferability. Do not be afraid to ask how much they will earn from the product or what other non-proprietary options are available.

announcement Do you offer products that have performance-based fees, or do you accept performance-based fees? Will any of my assets be invested in those products?

Why ask? When performance-based fees are charged, the financial advisor is paid for outperforming a benchmark, typically an index. While this may seem like an attractive compensation structure to ensure your advisor is making your money work for you, often, the managers of those products are incentivized to take inappropriate risks to beat their performance benchmark. For instance, research has shown that mutual funds that use incentive fees take on more risk that funds that do not, and tend to double down and increase their risk following a poor performance. This could be detrimental to a client during down markets.

announcement Do you perform side-by-side management? How do you mitigate conflicts that arise from managing accounts with differing fee structures?

Why ask? This typically occurs when firms manage mutual funds or hedge funds alongside smaller retail accounts. Side-by-side management can create an incentive for the advisor to favor the larger funds, potentially leading to unequal trading costs and unfavorable trade executions for their retail clients.

announcement Do you accept soft-dollar benefits? How did these benefits affect your firm’s selection of a broker-dealer partner?

Why ask? This firm receives soft-dollar benefits that could incentivize them to push trades through broker-dealers that provide advantages to the firm instead of through broker-dealers that could provide the best trade execution for their clients.

announcement Which securities do you trade for yourself that you will also be recommending to me?

Why ask? This firm has marked in their disclosures that they trade recommended securities. While this often can be seen as "eating your own cooking," there are several inherent conflicts that can arise. For example, front running is when a financial professional buys or sell securities ahead of their client. In short, any financial professional should disclose all positions they hold (or have sold short) that they will also be recommending to you.

Our system found no other conflict questions to ask. Checks take place monthly.



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Firm Information


As a financial advisory firm, also known as a Registered Investment Advisor (RIA), Regis Management Company can provide a variety of financial planning services for Americans. The goal of a financial advisor is to review your personal finances and work with you to achieve your life goals, e.g., saving for retirement, by creating a comprehensive financial plan. Financial advisors focus primarily on money management, including investments like stocks, ETFs, and mutual funds.

Financial planning services can include tax planning, estate planning, retirement planning, or life-based event planning such as saving for college, getting married, purchasing a home, paying down debt, or planning an inheritance.

Summary Firm
Advisors Directory View Directory
Avg Advisor Years Registered 9
Minimum Investment Ask firm
Average Client Balance $70,195,332
Total AUM $3.7 billion
Investment-Related Prohibition - Court No
Advisor / Client Ratio 1:11
Website Visit Site
Phone Number 650-838-1030
Headquarters Palo Alto, CA
SEC Filings View SEC IAPD CRD #128449



Disciplinary History


An important aspect of the Trust Algorithm is processing the SEC Form ADV Part 1 filing of each Registered Investment Advisor (RIA). “Item 11 Disclosure Information” contains a list of valuable disclosures that are relevant for Americans.

As identified in SEC Form ADV Part 1, Item 11 “Disclosure Information”, the Trust Algorithm identified the following disciplinary disclosures for Regis Management Company:




Cost


Unfortunately, there is no single, uniform pricing standard for working with a financial advisor. Catchphrases, including "fee-only," can be helpful; however, Americans often get confused with competitors promoting "fee-based" in response.

Ultimately, to understand the underlying costs of advisory services, we always recommend asking for an itemized fees breakdown and reading the firm's ADV Part 2 Brochure (Item 5, "Fees and Compensation").



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This automated report was generated using SEC and FINRA data and was last updated on August 4th, 2020*. For data support, email "support@investor.com". Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.


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