Regis Management Company, LLC (Palo Alto)


Regis Management Company, LLC is a large advisory firm based in Palo Alto. It manages $3.4 billion of regulatory assets for 53 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of California and Texas.

Regis Management Company provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Regis Management Company: assets under management

The assets under management (AUM) of Regis Management Company, LLC is $3.4 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 1034% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.4 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $64.2 million each.
Regis Management Company has custody of $3.37 billion in cash and securities for 50 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 37% of the total AUM. The second-largest asset type is investment and business development companies, which make up 32% of the firm’s portfolio. Investments in pooled investment vehicles form 25% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Regis Management Company, LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Regis Management Company serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, and pooled investment vehicles. The largest group of clients of Regis Management Company is high net worth individuals with 38 clients and $2.73 billion of assets under management. Among the 9 most similar advisory firms, Regis Management Company has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $3.4 billion for 53 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Regis Management Company also advises several private funds. Namely, one hedge fund and one real estate fund. The minimum investment commitment required of non-related persons ranges from $0 to $1,000,000.

Careers at Regis Management Company, LLC

The company employs 15 people that are either part- or full-time employees. 40 percent of the employees work as investment advisers or researchers. No 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.

Robert Francis Burlinson has served as the Chief Investment Officer since 1 Jan 2003. Adrienne Anderson Fioretti joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Robert Francis Burlinson Chief investment officer/member 1 Jan 2003 25% - 50% 2986137
John Freidenrich Manager 1 Jan 2003 Other 4709596
Robert F Burlinson Manager 1 Jan 2003 50% - 75% 2986137
John Freidenrich As General Partner For The Freidenrich Family Partnership Member 1 Mar 2004 25% - 50% 94-2796269
Stephen C. Donahue Chief compliance officer 1 Mar 2005 Other 5139647
Stephen C. Donahue Member 1 Jan 2010 Other 5139647
Peter Berry Gifford Member 1 Jan 2010 Other 2935400
Michael Darby Member 1 Jan 2010 Other 5119791
Christopher Neukermans Member 1 Jan 2010 Other 5904991
Robert Dye Member 1 Jan 2010 Other 2971447
Steven Scott Go Chief compliance officer/chief operating officer 1 Sep 2010 Other 2071985
Stephen Eliot Rogers Member 1 Sep 2010 Other 2330479
Matthew Adams Krensky Member 1 Jan 2013 Other 5381752
Adrienne Anderson Fioretti Chief compliance officer 1 Mar 2018 Other 1710536

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
John Freidenrich General partner 1 Apr 1981 Other 4709596
Jill Freidenrich General partner 1 Apr 1981 Other 5907488
Eric Freidenrich Limited partner 1 Apr 1981 25% - 50% 5907490
Gail Marks Limited partner 1 Apr 1981 25% - 50% 5907492

Based in Palo Alto

The principal office where Regis Management Company, LLC performs its advisory services is located at 300 Hamilton Avenue, Palo Alto, CA 94301, which is also the mailing address of the firm. An additional office of the firm is in San Francisco, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 650-838-1030 or by fax 650-328-8044. The normal business hours are 8:30 - 5:00 on Monday - Friday. You can find more information about the New York firm at regisllc.com.