Neil Rose
Neil Rose is a CFA-designated registered investment advisor at Regency Capital Management INC., based in Bainbridge Island, WA, with 22 years of industry experience. Neil operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 127 clients with $360M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $10.0M | 1.00% |
| $10.0M - $20.0M | 0.70% |
| $20M+ | 0.70% |
Fees are negotiable for amounts over $20,000,000 for Stock Portfolio, Global Stock Portfolio, Balanced + Diversified, and All-Weather Absolute Return strategies. IncomePlus strategy: 0.60% on the first $10,000,000, 0.50% on the next $10,000,000, and negotiable for amounts over $20,000,000. Cash Management: 0.20% on the first $25,000,000 and negotiable for amounts over $25,000,000. ETF-based accounts have different fee structures.
Fee Estimator
Location
Bainbridge Island, WA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Regency Capital Management INC.
Previous Registrations
Cadinha & CO LLC
Cadinha-Puaa & Rose
Cadinha & CO LLC
State Registrations1 state
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