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REGENCY INVESTMENT ADVISORS INC

FRESNO, CA · CRD 106990 · IAPD ↗ · regencyinvests.com · 559-438-2640

$1.14BRegulatory AUM
8Advisory reps
15Employees
0Clients
11-25Planning clients
0Private funds
6States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
May 2026 — REGENCY INVESTMENT ADVISORS INC (FRESNO, CA) left the SEC roster (was $1.14B RAUM, 8 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
47
December 2025 — REGENCY INVESTMENT ADVISORS INC notice-filed in NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
85
April 2025 — REGENCY INVESTMENT ADVISORS INC crossed $1B in regulatory AUM ($877.3M -> $1.01B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
61
April 2024 — REGENCY INVESTMENT ADVISORS INC reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
63
April 2024 — REGENCY INVESTMENT ADVISORS INC reported RAUM up 29% ($678.9M -> $877.3M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.