# Regal Bay Investment Group, LLC

> 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.

- CRD: 121829
- Filed as: REGAL BAY INVESTMENT GROUP, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Milwaukee, WI
- Filing period: October 2026
- Form ADV filing dated: September 22, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/121829
- AdvisorCensus page: https://advisorcensus.com/firm/regal-bay-investment-group-llc-milwaukee-wi-121829

## Quick answers

**How is Regal Bay Investment Group, LLC compensated?**
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. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Regal Bay Investment Group, LLC located?**
Regal Bay Investment Group, LLC's principal office is in Milwaukee, WI, according to its Form ADV.

**Is Regal Bay Investment Group, LLC registered with the SEC or a state?**
Regal Bay Investment Group, LLC is a state-registered investment advisory firm, registered since 2003. Status as filed: APPROVED. CRD 121829.

**How much does Regal Bay Investment Group, LLC manage?**
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).

**What types of clients does Regal Bay Investment Group, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (216); high net worth individuals (46).

**Does Regal Bay Investment Group, LLC report any disciplinary disclosures?**
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

**What changed in Regal Bay Investment Group, LLC's recent Form ADV filings?**
In the October 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions

### Regulatory assets under management (Item 5.F)
- Total: $114,500,000
- Discretionary: $1,100,000
- Non-discretionary: $113,400,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 216 | $34,900,000 |
| High net worth individuals | 46 | $79,600,000 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other

### Firm details
- Registered since: 2003 (23 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: WI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [regalbayinvest.com](https://regalbayinvest.com)

## Changes in the filing (last 12 months)

### October 2026
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Regal Bay Investment Group, LLC (CRD 121829): Form ADV filing data as of October 2026.