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- Custodian
- Charles Schwab & Company · State Street · Vanguard
- Clients
- Retail and Institutional
- Platforms
- Available
- 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.
Team overview
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Asset Classes
Client Personas
CRM
Custodian
Fund Managers
Investment Themes
Investment Vehicles
Platform
Services
Technology
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
Total SMA Asset: Available
| Asset class | Assets | Assets % |
|---|---|---|
| Equity - Exchange | Available | Available |
| U.S. Government/Agency | Available | Available |
| Public Funds | Available | Available |
| Corporate - Investment Grade | Available | Available |
| Cash | Available | Available |
| Total | Available | Available |
13F Holdings | Q1 2026
| Issuer | Class | CUSIP | Ticker | % | Value |
|---|---|---|---|---|---|
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
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