# Regal Capital Management, Inc.

> Regal Capital Management, Inc. is a state-registered investment advisory firm in Bedford, IN, registered since 2003, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated February 24, 2026.

- CRD: 126952
- Filed as: REGAL CAPITAL MANAGEMENT, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Bedford, IN
- Filing period: October 2026
- Form ADV filing dated: February 24, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/126952
- AdvisorCensus page: https://advisorcensus.com/firm/regal-capital-management-inc-bedford-in-126952

## Quick answers

**How is Regal Capital Management, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Regal Capital Management, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Regal Capital Management, Inc. located?**
Regal Capital Management, Inc.'s principal office is in Bedford, IN, according to its Form ADV.

**Is Regal Capital Management, Inc. registered with the SEC or a state?**
Regal Capital Management, Inc. is a state-registered investment advisory firm, registered since 2003. Status as filed: APPROVED. CRD 126952.

**How much does Regal Capital Management, Inc. manage?**
Regal Capital Management, Inc. reports $43,220,474 in regulatory assets under management in its Form ADV filing dated February 24, 2026 (100% discretionary).

**What types of clients does Regal Capital Management, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (158); high net worth individuals (7); pension and profit sharing plans (but not the plan participants or government pension plans) (1).

**Does Regal Capital Management, Inc. 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/126952

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Regulatory assets under management (Item 5.F)
- Total: $43,220,474
- Discretionary: $43,220,474
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 158 | $29,303,266 |
| High net worth individuals | 7 | $12,060,000 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 1 | $917,980 |
| Charitable organizations | 1 | $939,228 |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 0 | Not reported |
| Other | 0 | Not reported |

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

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

### Websites listed on Form ADV (Item 1.I)
- regalcapital.net
- LinkedIn @bruce-roberts-0a707a22

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Regal Capital Management, Inc. (CRD 126952): Form ADV filing data as of October 2026.