REGAL INVESTMENT ADVISORS LLC
7 known aliases resolved via the canonical alias map
Market position · 2024
Plans served7-1 YoYRank #1564 of mapped providers
Assets under administration$16.3B0.0%Market share · rank #797
Fees received$233,155Median $17,344/planSum across Schedule C direct + indirect
Net wins YoY+03 won · 3 lostPlan-level switch detection
Plans served · 5-year trajectory
Market-share plans percent annotated. Bar height is raw plan count.
Customer-base shape
What does a typical REGAL INVESTMENT ADVISORS LLC plan look like?
Service mix · median fees per plan
Count of plans where REGAL INVESTMENT ADVISORS LLC ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Investment management fees paid directly by plan; Investment advisory (plan)Code 27 | 4 | $20,546 | |
Investment advisory (participants); Direct payment from the planCode 26 | 2 | $15,877 | |
Other feesCode 99 | 1 | $60,000 |
Competitor overlap
Percent of REGAL INVESTMENT ADVISORS LLC's plans that also list each competitor on Schedule C. High numbers = co-living partners; low numbers = direct displacement targets.
Plans won in 2024
Appeared this year; did not appear last year under REGAL INVESTMENT ADVISORS LLC.
| Sponsor | From | Assets |
|---|---|---|
INDIANA UNIVERSITY HEALTH INC.IN · 351955872-005 | GREAT-WEST LIFE & ANNUITY INSURANCE | $4.5B |
NEWPORT GROUP, INC.CA · 272037969-025 | NEWPORT GROUP, INC. | $37M |
ANESTHESIA ASSOCIATES, P.L.L.OH · 340894140-002 | AMERICAN FUNDS | $3M |
Plans lost in 2024
Appeared last year under REGAL INVESTMENT ADVISORS LLC; not this year.
| Sponsor | To | Assets |
|---|---|---|
THE CLEVELAND CLINIC FOUNDATIONOH · 340714585-002 | PRASAD I ELAMANA | $7.5B |
LHM FINANCIAL CORPORATION DBA CNN MORTGAGEAZ · 860741955-002 | (new plan) | $592,037 |
HYDRITE CHEMICAL COMPANYWI · 390364390-005 | (new plan) | $512 |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
SOUTHWEST AIRLINES COMPANYTX · 741563240-003 | $11.6B | 13,086 | $17,344 | 8y | 1 |
INDIANA UNIVERSITY HEALTH INC.IN · 351955872-005 | $4.5B | 51,880 | $14,409 | 1y | - |
UNIVERSITY SCHOOL OF MILWAUKEEWI · 396076442-001 | $85M | 573 | $9,058 | 7y | - |
ARC INTL. NORTH AMERICA, LLCNJ · 221815068-004 | $80M | 913 | $60,000 | 7y | - |
NEWPORT GROUP, INC.CA · 272037969-025 | $37M | 1,660 | $91,253 | 1y | 2 |
SG CHEVROLET, LLCOH · 270499407-001 | $21M | 795 | $31,498 | 4y | 1 |
WABASH CENTER, INC.IN · 351115916-001 | $4M | 520 | $9,593 | 2y | - |
Flag exposure
57.1%Market: 89.2%
This provider
Market baseline
Share of this provider's plans tripping any deterministic red flag this year. Lower than market baseline = better risk surface.
Aliases resolved (7)
Raw Schedule C names collapsed into REGAL INVESTMENT ADVISORS LLC.
- REGAL
- REGAL BAY INVESTMENT GROUP, LLC
- REGAL FINANCIAL, LLC
- REGAL INVESTMENT ADVISORS
- REGAL INVESTMENT ADVISORS LLC
- REGAL INVESTMENT ADVISORS, LLC
- REGAL INVESTMENTS ADVISORS LLC
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /retirement size filter. Up-and-to-the-right on the bigger segments = moving up-market.
Under $5M$5-50M$50-250M$250M-1B$1B+
Compliance posture vs market
Per-flag share for REGAL INVESTMENT ADVISORS LLC's book against the same flag's overall prevalence across all filings. Negative delta = under-indexed (cleaner book); positive = elevated risk surface.
| Flag | Plans flagged | Provider % | Market % | Delta |
|---|---|---|---|---|
| Recently terminated | 0 | 0.00% | 7.76% | -7.76 pp |
| Fidelity bond gap | 0 | 0.00% | 26.94% | -26.94 pp |
| Late contributions | 2 | 28.57% | 1.71% | +26.86 pp |
| Failed to provide benefit | 0 | 0.00% | 0.14% | -0.14 pp |
| Corrective distributions | 2 | 28.57% | 1.76% | +26.81 pp |
| Loss discovered | 0 | 0.00% | 0.00% | -0.00 pp |
New-plan formation share
Share of plans filing for the first time each year that landed with REGAL INVESTMENT ADVISORS LLC. Compare to the incumbent market share (0.0%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-0.0 pp vs incumbent