Regal Advisory Services, Inc.

Registered investment adviser · Glenview, IL · CRD #123842

Form ADV data as of 2026-09-01

Regulatory assets

$121.4 million

Total accounts

274

Employees

Disclosure events

Firm details

Website: https://www.linkedin.com/company/regal-advisory-services-inc
Telephone: 877-488-6537
SEC file number: 801-71619
Most recent Form ADV filing: 2026-07-31
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 1 disclosure question answered Yes, covering 1 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$64.4 million
Non-discretionary regulatory assets under management	$57.0 million
Total regulatory assets under management	$121.4 million
Discretionary accounts	107
Non-discretionary accounts	167
Total accounts	274
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	25
Employees performing investment advisory functions (including research)	16
Employees who are registered representatives of a broker-dealer	22
Employees registered as investment adviser representatives with a state	24
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	14
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under managementFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerInsurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	224	$46.1 million
High net worth individuals	45	$49.1 million
Corporations or other businesses not listed above	5	$26.2 million