{
  "crd_number": 121829,
  "slug": "regal-bay-investment-group-llc-milwaukee-wi-121829",
  "primary_business_name": "REGAL BAY INVESTMENT GROUP, LLC",
  "legal_name": "REGAL BAY INVESTMENT GROUP, LLC",
  "dbas": [],
  "city": "Milwaukee",
  "state": "WI",
  "country": "United States",
  "cbsa_code": "33340",
  "metro": {
    "cbsa_code": "33340",
    "common_name": "Milwaukee",
    "msa_name": "Milwaukee-Waukesha, WI",
    "path": "/advisors/wi/milwaukee"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2003-06-20",
  "years_registered": 23,
  "period": "2026-10-01",
  "filing_date": "2026-09-22",
  "carried_forward": false,
  "raum_total": 114500000.0,
  "raum_discretionary": 1100000.0,
  "raum_non_discretionary": 113400000.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 34900000.0,
      "count": 216
    },
    "high_net_worth_individuals": {
      "raum": 79600000.0,
      "count": 46
    }
  },
  "compensation_types": [
    "commissions",
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "other",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "WI"
  ],
  "websites": [
    "https://regalbayinvest.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/121829",
  "city_as_filed": "MILWAUKEE",
  "url": "https://advisorcensus.com/firm/regal-bay-investment-group-llc-milwaukee-wi-121829",
  "display_name": "Regal Bay Investment Group, LLC",
  "summary": "Regal Bay Investment Group, LLC is a state-registered investment advisory firm in Milwaukee, WI, registered since 2003, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 22, 2026.",
  "citation": "AdvisorCensus. Regal Bay Investment Group, LLC (CRD 121829): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Commissions"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Regal Bay Investment Group, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Regal Bay Investment Group, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); commissions."
    },
    {
      "q": "Where is Regal Bay Investment Group, LLC located?",
      "a": "Regal Bay Investment Group, LLC's principal office is in Milwaukee, WI, according to its Form ADV."
    },
    {
      "q": "Is Regal Bay Investment Group, LLC registered with the SEC or a state?",
      "a": "Regal Bay Investment Group, LLC is a state-registered investment advisory firm, registered since 2003. Status as filed: APPROVED. CRD 121829."
    },
    {
      "q": "How much does Regal Bay Investment Group, LLC manage?",
      "a": "Regal Bay Investment Group, LLC reports $114,500,000 in regulatory assets under management in its Form ADV filing dated September 22, 2026 (1% discretionary)."
    },
    {
      "q": "What types of clients does Regal Bay Investment Group, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (216); high net worth individuals (46)."
    },
    {
      "q": "Does Regal Bay Investment Group, LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/121829"
    },
    {
      "q": "What changed in Regal Bay Investment Group, LLC's recent Form ADV filings?",
      "a": "In the October 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/regal-bay-investment-group-llc-milwaukee-wi-121829.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 216,
      "fewer_than_5": false,
      "raum": 34900000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 46,
      "fewer_than_5": false,
      "raum": 79600000.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/121829",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}