Carlos Alberto Guzman

Regal Investment Advisors LLC

8 Years of Experience

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Firm Information

Regal Investment Advisors LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Number of Advisors

107 advisors

Number of Clients

7,859 clients

Average Client Portfolio

$311K average

Assets Under Management

$2.4B

Fee Structure

Minimum Investment:None

Financial Planning:Investment management only

AUM-Based Fees (Tiered)

Assets Under Management	Annual Fee
Up to $500K	2.50%
$500K - $1.0M	2.25%
$1M+	2.00%

Fees are negotiated on an IAR-by-IAR, client-by-client, or account-by-account basis. Some clients may receive more favorable pricing structures than others. These are the maximum allowable fees.

Fee Estimator

Your Portfolio Value

$500K

$0$500K$1M$5M$20M

Estimated Annual Fee

—

Regal charges an annual wrap fee based on the market value of your assets under management. The fee is negotiated on an IAR-by-IAR, client-by-client, or account-by-account basis. Some clients may receive more favorable pricing structures than others. The maximum allowable program fees are: $0 - $500,000: 2.50%, $500,001 - $1,000,000: 2.25%, $1,000,001+: 2.00%.

View Full Brochure on SEC

Areas of Practice

Investment Management

Advisor Information

Office location

300 N San Dimas Ave, San Dimas, CA, 91773

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Regulatory History (1)

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Judgment / Lien

January 2004

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Other Business ActivitiesSells Insurance

Carlos is the president of CKG Insurance Agency Inc. since 2016, selling life insurance products and fixed/indexed annuities, dedicating nearly full-time hours to this activity.