AdvisorCensus / Financial advisors / Illinois / Chicago / Regiment Capital Advisors, LLC
Regiment Capital Advisors, LLC
Filed as REGIMENT CAPITAL ADVISORS, LLC
Regiment Capital Advisors, LLC is an SEC-registered investment advisory firm in Chicago, IL, registered since 2026, reporting under $25 million in regulatory assets under management in its Form ADV filing dated August 25, 2026.
Quick answers
From the filingHow is Regiment Capital Advisors, LLC compensated?
On its Form ADV (Item 5.E, October 2026), Regiment Capital Advisors, LLC reports these compensation arrangements: a percentage of assets under its management.
Where is Regiment Capital Advisors, LLC located?
Regiment Capital Advisors, LLC's principal office is in Chicago, IL, according to its Form ADV.
Is Regiment Capital Advisors, LLC registered with the SEC or a state?
Regiment Capital Advisors, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: 120-Day Approval. CRD 339622.
How much does Regiment Capital Advisors, LLC manage?
Regiment Capital Advisors, LLC reports $0 in regulatory assets under management in its Form ADV filing dated August 25, 2026.
Does Regiment Capital Advisors, LLC report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/339622
What changed in Regiment Capital Advisors, LLC's recent Form ADV filings?
In the September 2026 filing data: Newly registered with the SEC. Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2ASee the firm's brochure (dated March 10, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$0 as of October 2026, filing dated August 25, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DNot reported.
A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: 120-Day Approval.
- Registered since
- 2026 (0 years)
- Employees
- Total: 1. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Changes in the filing
Last 12 months- September 2026
- Newly registered with the SEC.
- Updated its list of owners and control persons (Schedule A).
- August 2026
- Updated its list of owners and control persons (Schedule A).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.INot reported.
Source: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Regiment Capital Advisors, LLC (CRD 339622): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/regiment-capital-advisors-llc-chicago-il-339622