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- Custodian
- Charles Schwab & Company · State Street · Vanguard
- Clients
- Retail and Institutional
- Platforms
- Available in AdvizorPro
- Established Date
- 01-01-2021
- Office Locations
- 2
Office Locations
About Regency Capital Management Inc.
Regency Capital Management is an independent fiduciary RIA based in Honolulu and Bainbridge Island, providing customized investment management and rational wealth planning. The team builds evidence-based portfolios with explicit risk controls and a focus on long-term, after-tax growth, coordinating closely with clients’ CPAs and attorneys. For larger estates, it offers family office support and multi-generational organization and reporting.
Reported data analysis
What the numbers show
Between March 11, 2025 and March 4, 2026, reported AUM increased 19.8%, from $303.8M to $364.1M.
Across 5 reported observations, AUM increased 40.6% between September 20, 2022 and March 4, 2026, from $259.0M to $364.1M.
Of the latest reported AUM, 100.0% is discretionary and 0.0% is non-discretionary.
The firm reports 2 advisory representatives and 127 clients, or 63.5 clients per representative. That equates to $2.9M in reported AUM per client.
The profile lists 2 reported office locations and 5 years in operation. The source data was last updated on March 4, 2026. Figures reflect reported regulatory data and may not include subsequent changes.
Team overview
Additional firm insights
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Available data coverage
- Asset Classes
- Client Personas
- CRM
- Custodian
- Fund Managers
- Investment Themes
- Investment Vehicles
- Platform
- Services
- Technology
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The full Regency Capital Management Inc. record includes the detailed values behind these data categories, along with filters and export-ready prospecting fields.
Owner & Executives
NEIL T. ROSE
Chief Executive Officer, President
- CRD
- #4629568
- Ownership
- 50% but less than 75%
ARTHUR JACQUES MALLET
Chief Compliance Officer, CHIEF OPERATING OFFICER, Investment Advisor, President
- CRD
- --
- Ownership
- Less than 5%
Showing 2 of 2 owners & executives
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Kawika Shoji
Financial Advisor, General Partner
- CRD
- #7619349
Showing 1 of 3 contacts
Unlock allAssets Under Management
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $364,074,897 | $981,334 |
| Non-Discretionary | $0 | -- |
| Total | $364,074,897 | $981,334 |
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Separately Managed Accounts
SMA allocation detail is available
Regency Capital Management Inc. has reported separately managed account data across 5 asset classes. AdvizorPro provides the associated asset values, allocation percentages, and exportable breakdown.
13F Holdings | Q2 2026
Review the latest reported holdings
Regency Capital Management Inc.'s 13F holdings detail is available for Q2 2026, including issuer, security class, CUSIP, ticker, portfolio weight, and reported value.