Regency Capital Management Inc.

Overview

Regency Capital Management Inc. is an SEC registered investment adviser based in Honolulu, HI, registered since 2021. It reports $364M in assets under management across 371 accounts, with 5 employees. It has 2 investment adviser representatives.

Reported AUM

$364M

Discretionary

100%

Accounts

371

Average account

$981K

Employees

5

Advisory reps

2

Registered since

2021

Jurisdictions

3

As reported in the firm's March 2026 filing.

Contact

1 phone number on file

Practice

Services

• Financial Planning
• Individuals or Small Business
• Portfolio Management for Businesses or Institutional Clients

Client types

• Charities and Non-Profits
• Corporations/Businesses
• High Net Worth Individuals
• Individuals
• Pension/Profit Sharing Plan
• Pooled Investment Vehicles

Fee structure

Percentage of Assets

Executive officers 2 of 2

• Neil T Rose Chief Executive Officer CRD 4629568
• Arthur Jacques Mallet President, Chief Operating Officer, Chief Compliance Officer CRD 4981263

Advisory reps 2 of 2

• Neil T Rose Investment Adviser Rep CRD 4629568
• Kawika Shoji Investment Adviser Rep CRD 7619349

Location

Headquarters

1001 Bishop St Ste 1090
Honolulu, HI 96813

County

Honolulu

Metro area

Urban Honolulu, HI

Region

West

Registrations

• SEC registered
• Registered in 3 jurisdictions
• Website: regencycm.com

Every state, with registration dates

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