{ "crd_number": 299134, "slug": "regal-funds-management-asia-pte-limited-singapore-299134", "primary_business_name": "REGAL FUNDS MANAGEMENT ASIA PTE LIMITED", "legal_name": "REGAL FUNDS MANAGEMENT ASIA PTE LIMITED", "dbas": [], "city": "Singapore", "state": null, "country": "Singapore", "cbsa_code": null, "metro": null, "registration_type": "exempt", "registration_status": "ERA - Active", "registration_date": "2018-10-15", "years_registered": 7, "period": "2026-10-01", "filing_date": "2026-09-16", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": null, "advisory_employees": null, "client_count_bucket": null, "clients_by_type": null, "compensation_types": [], "advisory_activities": [], "wrap_fee_participant": null, "disclosure_yes_count": 5, "states_registered": [], "websites": [ "https://facebook.com/Regal-Funds-Management-510703852343972", "https://linkedin.com/company/regal-funds-management", "https://regalfm.com", "https://twitter.com/regalfunds" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/299134", "disclosure_items": [ { "item": "11.A(2)", "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.G", "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?" }, { "item": "11.H(1)(b)", "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?" }, { "item": "11.H(2)", "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?" } ], "city_as_filed": "SINGAPORE", "url": "https://advisorcensus.com/firm/regal-funds-management-asia-pte-limited-singapore-299134", "display_name": "Regal Funds Management Asia Pte Limited", "summary": "Regal Funds Management Asia Pte Limited is an exempt reporting adviser in Singapore, Singapore, filing reports since 2018. Exempt reporting advisers do not report regulatory assets under management on Form ADV.", "citation": "AdvisorCensus. Regal Funds Management Asia Pte Limited (CRD 299134): Form ADV filing data as of October 2026.", "registration_type_label": "Exempt reporting adviser", "compensation_labels": [], "advisory_activity_labels": [], "quick_answers": [ { "q": "Where is Regal Funds Management Asia Pte Limited located?", "a": "Regal Funds Management Asia Pte Limited's principal office is in Singapore, Singapore, according to its Form ADV." }, { "q": "How does Regal Funds Management Asia Pte Limited report to regulators?", "a": "Regal Funds Management Asia Pte Limited is an exempt reporting adviser, filing reports since 2018. Exempt reporting advisers file a shorter Form ADV. Status as filed: ERA - Active. CRD 299134." }, { "q": "Does Regal Funds Management Asia Pte Limited report any disciplinary disclosures?", "a": "Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.A(2) (felony charge in the past ten years), 11.D(2) (another regulator's finding of a violation), 11.G (pending regulatory proceeding), 11.H(1)(b) (court finding of a violation), and 11.H(2) (pending civil proceeding). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/299134" }, { "q": "What changed in Regal Funds Management Asia Pte Limited's recent Form ADV filings?", "a": "In the October 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2021-09-28" }, { "period": "2022-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2022-09-14" }, { "period": "2023-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2024-02-29" }, { "period": "2025-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2025-07-24" }, { "period": "2026-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2026-09-16" } ], "recent_changes": [ { "period": "2026-10-01", "period_label": "October 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Item 11 disclosure answers changed: 5 yes answers, previously 2 (now yes: 11.D(2), 11.H(1)(b), 11.H(2))." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/regal-funds-management-asia-pte-limited-singapore-299134.md", "clients": [], "disclosure_line": "Reports 5 disclosure items on Form ADV Item 11.", "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/299134", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }