SEC-registered independent wealth management RIA
Regency Capital Management Inc.
As of its Form ADV filed March 4, 2026, Regency Capital Management Inc., an SEC-registered independent wealth management RIA in Honolulu, Hawaii, reported $364.1 million in regulatory assets under management across 371 accounts, ranking #4 among independent RIAs in Hawaii by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 312435
- SEC file number
- 801-120277
- Registered since
- February 4, 2021
- Latest Form ADV filing
- March 4, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 1
Key figures
- Regulatory assets under management
- $364.1 million
- Discretionary
- $364.1 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 371 (371 discretionary)
- Clients
- 127, approximate as reported
- Employees
- 5
- Advisory staff
- 2 performing investment advisory functions
- Average account
- $981,334
- Asset growth, 1 year
- 19.8% (from $303.8 million a year earlier)
- Asset growth, 3-year annual rate
- 13.8% (from $246.8 million three years earlier)
- Asset growth, 5-year annual rate
- 5.9% (from $273.6 million five years earlier)
- Client growth, 1 year
- 28.3% (from 99)
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In Hawaii | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #3,444 | #4 | $364.1 million |
| Fastest-growing independent RIAs over one year | #2,407 | #5 | 19.8%from $303.8 million |
| Fastest-growing independent RIAs over three years | #3,202 | #7 | 13.8%from $246.8 million |
| Fastest-growing independent RIAs over five years | #3,632 | #6 | 5.9%from $273.6 million |
| Independent RIAs with the biggest asset gains over one year | #3,048 | #3 | $60.2 million |
| Independent RIAs with the most clients | #7,641 | #14 | 127 |
| Independent RIAs with the most accounts | #6,052 | #10 | 371 |
| Independent RIAs with the most advisory staff | #6,488 | #14 | 2 |
| Independent RIAs with the most high net worth clients | #4,399 | #8 | 69 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 4, 2021 | $273.6 million |
| October 3, 2022 | $259.0 million |
| October 5, 2023 | $246.8 million |
| October 1, 2024 | $279.5 million |
| September 2, 2025 | $303.8 million |
| October 2, 2026 | $364.1 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 69 clients | $326.1 million | |
| Individuals (other than high net worth) 47 clients | $17.8 million | |
| Corporations or other businesses fewer than 5 clients | $8.5 million | |
| Pooled investment vehicles 1 client | $5.3 million | |
| Charitable organizations fewer than 5 clients | $4.0 million | |
| Pension and profit sharing plans fewer than 5 clients | $2.4 million | |
| Banking or thrift institutions fewer than 5 clients | $0 | |
| State or municipal government entities fewer than 5 clients | $0 | |
| Other investment advisers fewer than 5 clients | $0 | |
| Insurance companies fewer than 5 clients | $0 | |
| Sovereign wealth funds and foreign official institutions fewer than 5 clients | $0 |
How the firm is paid
- A percentage of assets under management
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses or institutional clients
Financial planning clients (Item 5.H): 101-250.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
None reported.
Advises 1 private fund (Item 7.B).
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 2
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 2
Designations held by the firm's IARs: CFA 1.
2 of the firm's 2 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Hawaii
| Firm | City | RAUM |
|---|---|---|
| Financial Planning Hawaii, Inc. | Honolulu | $382.4 million |
| Yim Investment Management, LLC | Honolulu | $307.8 million |
| Andrews Advisory Associates, LLC | Honolulu | $268.6 million |
| C.M.Bidwell & Associates Ltd | Honolulu | $267.1 million |
| Kokua Capital Management | Honolulu | $223.9 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Regency Capital Management Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: regencycm.com
- Independent RIAs in Hawaii
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.