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REGAL INVESTMENT ADVISORS LLC

KENTWOOD, MI · CRD 125004 · IAPD ↗ · regal-lionshare.com · 616-224-2204

$2.88BRegulatory AUM
118Advisory reps
131Employees
61Clients
51-100Planning clients
0Private funds
50States
8Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
April 2026 — REGAL INVESTMENT ADVISORS LLC's Item 11 disclosure-reporting entries rose by 2 (6 -> 8).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
78
April 2026 — REGAL INVESTMENT ADVISORS LLC grew from 110 to 118 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
April 2025 — REGAL INVESTMENT ADVISORS LLC shrank from 117 to 110 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
47
April 2024 — REGAL INVESTMENT ADVISORS LLC notice-filed in ID.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2024 — REGAL INVESTMENT ADVISORS LLC's Item 11 disclosure-reporting entries rose by 3 (3 -> 6).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2024 — REGAL INVESTMENT ADVISORS LLC added office(s): 75 -> 77 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2024 — REGAL INVESTMENT ADVISORS LLC grew from 90 to 117 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

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