$142MM AUM | $1.3MM Rev in
Regal Bay, founded in June of 2002, is a Wisconsin Limited Liability Corporation located at 250 East Wisconsin Ave., Suite 1500, Milwaukee, Wisconsin. http://___ The firm specializes in providing investment management and financial advisory services to individuals, trusts, estates, corporations, pension and profit sharing plans and other business entities.
Regal Bay provides the following wealth management services:
Investment Management Service
Investment Advisory Service - Unbundled Managed Account Solutions (UMAS)
Investment Consulting Service
Advice on matters not involving securities.
Regal Bay provides Wealth Management and Advisory Services through a variety of investment products and arrangements depending on the client’s individual needs and strategy. Clients may have their investments managed continuously on a discretionary or non-discretionary basis through Investment Management or Advisory Services respectively.
Regal Bay first reviews a client’s present financial situation, along with their goals, priorities and risk-tolerance before making any initial recommendations. Regal Bay then manages each client’s investments in a manner consistent within these parameters, taking into consideration the client’s investment objectives, risk tolerance, liquidity needs and time horizon. Regal Bay utilizes the information provided by the client to develop an investment plan that is agreed upon and approved by the client, which then serves as a guideline to provide investment recommendations and on-going management. Fees can vary depending on the particular investment strategies or advice and/or client-related services provided within these programs.
Fundamental and technical analysis is used by Regal Bay to evaluate client securities and to make recommendations of purchases and sales. This includes industry, sector and economic market factors before deciding the appropriate action to take in a client’s account.
The majority of Regal Bay’s client assets are managed on a non-discretionary Advisory basis. However, Regal Bay may also accept accounts that choose to have their accounts managed on discretionary Investment Management basis.
Primary Benefits of Investment Management and Advisory Service:
• Separately managed accounts with long term investment horizons. These accounts are not managed as trading or market timing accounts.
• Mutual funds may be utilized without the issue of “break points” affecting decisions.
• Quarterly/annual performance reports.
• Margin loans for short term investments and the flexibility to maintain cash balances when prudence dictates.
• Compliance monitoring to reduce excessive allocation risk relative to a client’s risk tolerance.
• Recommendations that are thoroughly vetted through extensive due diligence
Secondary Benefits of Investment Management Service and Advisory Service:
• Opportunity to avoid a standard account fee.
• Access to numerous fund families and possibly institutional share class which may save on internal fund expenses and fees.
• Possibility of participating in ancillary financial services such as checking, visa, rewards program, etc.
• Fees which may be reduced for retirement accounts
• Under some circumstances duplicate IRA fees may be waived.
• Interest and dividend income can be distributed.
• Block orders
• Negotiated commission and/or negotiated fees
Clients have the option of accepting Regal Bay’s recommendations or selecting alternative investments for their account. Regal Bay offers periodic rebalancing of mutual funds and other investments in client’s accounts, at the client’s request. Rebalancing is available at predetermined intervals (e.g., annually) or upon the client’s direction. Regal Bay may recommend stocks, bonds or other liquid assets, consistent with the client’s investment objectives, risk tolerance and any restrictions established by the client.