Firm Information
Compensation
Number of Advisors
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Regal charges fees based on a percentage of assets under management, with a maximum annual fee of 2.0%, which is negotiable. Fees are billed quarterly in advance, but may be billed in arrears for certain custodian programs. The firm may modify fees with 30 days' written notice. Clients authorize fee deduction from their accounts. Regal has an economic incentive to recommend its RDIM/RNIM/Free Form Advisor programs versus the various RBC and HTS wrap fee programs.
Areas of Practice
Advisor Information
Office location
950 North Milwaukee Avenue, Suite 101, Glenview, IL, 60025-3771
Get directionsRegulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Marilyn is the founder of Carter Capital Management, dedicating full-time hours to this role. She also acts as an agent for several insurance companies, providing annuity products to clients, and spends minimal time on each.