Investment Management

What is Investment Management?

We believe investment management is simply the thoughtful oversight of the client’s investments with the ultimate goal of meeting, or exceeding, their objectives.

Why an Investment Advisor?

There is one thing certain to be said about investing: markets can be very uncertain.  Most investors do not have the knowledge, time, nor patience to guide their investments through turbulent times that inevitably arise. For the average investor, the stakes are simply too high. Qualified professional advisors can assist individuals, trusts, businesses, retirement plans and non-profits.

Regency’s goal is to minimize risk and add value to your portfolio

What questions should you ask when choosing an investment adviser?

  • What is your industry experience?
  • What is your education and employment history?
  • What licenses and certifications do you hold?
  • Are you registered with the SEC, the state, or the Financial Industry Regulatory Authority (FINRA)?
  • What services do you offer?  Are you limited in what investment products you can offer to me? If so, why?
  • How are you paid? Do you receive commissions?
  • Have you ever been disciplined by a regulatory agency?
  • Can you send me a copy of your Form ADV if you are registered with the SEC as a registered investment adviser

Why Regency?

Our clients are the focus of our business and we take pride in offering exceptional client service. The team at Regency has years of experience and a relentless work ethic.

How are we different than a typical retail broker? Our service is fee based and clients only pay a reasonable, transparent, and comprehensive fee. We receive no commissions of any kind, thus eliminating this major conflict of interest. Additionally, our recommendations are independent of any other entity and must make sense for our clients. Our portfolio management team has no bias toward any manager, or company. The platforms we use allow us to hire and terminate managers at no expense to our clients, thus further eliminating conflicts. Simply put, we work for you.

Regency uses a top down approach to money management, with a goal to minimize risk and add value to your portfolio.  Here are some of Regency’s principles:

  • Diversify to minimize risk (security, asset class, manager and style diversification).
  • Apply a consistent, systematic investment approach
  • Monitor investment managers on an on-going basis
  • Utilize a team approach to investment management
  • Perform periodic rebalancing to ensure portfolios stay on track
  • Challenge our assumptions and pursue constant improvement

Your Future. Your Family. Our Focus.

Positively impacting lives since 1993.

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