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BREGAL INVESTMENTS, INC.

NEW YORK, NY · CRD 285006 · IAPD ↗ · 212-704-3000

$27.55BRegulatory AUM
62Advisory reps
101Employees
0Clients
n/aPlanning clients
44Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

61
April 2026 — BREGAL INVESTMENTS, INC. grew from 56 to 62 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
50
April 2024 — BREGAL INVESTMENTS, INC. reported RAUM up 28% ($20.23B -> $25.85B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
60
April 2024 — BREGAL INVESTMENTS, INC. grew from 51 to 56 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.