Offers online services
About
We strive to provide excellent investment returns and personalized service to our clients. They benefit from our 44 years of investment experience.
We invest in stocks that exhibit low valuation, low investor expectations and are undergoing favorable fundamental change.
We often employ proprietary research and tend to focus on smaller companies where that research can make a difference.
Please view our website at www.REGCapital.com
Highlights
1 employee
17 years in business
Serves Exeter , NH
Offers online services
Payment methods
Check
Specialties
Comfort with finances
Customers who are very comfortable with finances, Customers who are somewhat comfortable with finances, Customers who are not comfortable with finances
Career stage
Entry-level / Junior, Mid-level, Senior-level / management, Executive, Approaching retirement, Already retired
Annual income
$60,000 - $80,000, $80,000 - $100,000, $100,000 - $150,000, $150,000 - $250,000, Greater than $250,000
Service type
Investment review
Photos and videos
Reviews
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TL
tim L.
Excellent communication. Good documentation. Trading success.
June 15, 2023
Frequently asked questions
What is your typical process for working with a new customer?
We meet with the prospective client. We discuss the client's investment needs. We discuss our investment advisory services.
What education and/or training do you have that relates to your work?
MBA Northwestern University School of Management. Austin Scholar (highest scholarship award).
Do you have a standard pricing system for your services? If so, please share the details here.
2% annual fee on assets under management, payable quarterly , in arrears.
How did you get started in this business?
After graduating from Northwestern Kellogg Graduate School of Management (MBA), I was recruited to work in Citicorp's Investment Management Department. I subsequently worked at Neuberger Berman, and then at Wiliam D. Witter, Inc. I founded my Registered Investment Advisory firm, REG Capital Advisors, in 2007.
What types of customers have you worked with?
Individuals, IRA's, trusts.
Describe a recent event you are fond of.
My first new client was a young couple. We shared the same personal tax preparer who recommended me to them. They started with $100,000 in a brokerage account that I managed for them. They started a family.
A couple years later the husband lost his job. As a result of the positive investment returns they enjoyed, they were able to stay financially sound until he started a new job. I enjoy making a real difference in people's financial lives.
What advice would you give a customer looking to hire a pro in your area of expertise?
Find someone who is honest, experienced, competent. Someone who follows an investment strategy that is clear and consistent.
What questions should customers think through before talking to pros about their needs?
Decide on financial goals. Reflect on realistic methods of achieving them.
Services offered
Financial Services And Planning