Regatta Capital Group, LLC (El Segundo)

Name: Regatta Capital Group, LLC
Address: 880 Apollo St., El Segundo, CA, 90245
Telephone: 310-725-9102

Regatta Capital Group, LLC is a large advisory firm based in El Segundo. It manages $323.68 million of regulatory assets for 1,965 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of California, Massachusetts, New Hampshire, and 3 other states.

Regatta Capital Group provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and educational seminars and workshops. It prepares financial plans for approximately 546 clients. On top of advisory services, the firm doesn't engage in other business activities.

Regatta Capital Group: assets under management

The assets under management (AUM) of Regatta Capital Group, LLC is $323.68 million. The firm's AUM has grown by 717% since the beginning of its operation, and $1.72 million of the total AUM is attributable to clients outside of the United States.

The firm manages $234.02 million in discretionary accounts and $89.66 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $148.58 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $229.89 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 57% of the total AUM. The second-largest asset type is exchange traded securities, which make up 25% of the firm’s portfolio. Investments in other assets form 10% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Regatta Capital Group, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Regatta Capital Group serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Regatta Capital Group is high net worth individuals with 180 clients and $200.88 million of assets under management. Among the 10 most similar advisory firms, Regatta Capital Group has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $323.68 million for 631 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Regatta Capital Group doesn't advise any private funds.

Careers at Regatta Capital Group, LLC

The company employs 11 people that are either part- or full-time employees. 73 percent of the employees work as investment advisers or researchers. 7 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Russell R. Mohberg	Managing member/chief compliance officer	1 Sep 2007	50% - 75%	4354403
Spencer Southard Kelly	Principal/member	1 Apr 2008	50% - 75%	4741392

Based in El Segundo

The principal office where Regatta Capital Group, LLC performs its advisory services is located at 880 Apollo St., El Segundo, CA 90245, which is also the mailing address of the firm. An additional office of the firm is in Westchester, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 310-725-9102 or by fax 310-725-9158. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at regattainvest.com.