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Paladin Certified

This advisor or firm is a vetted, documented member of the Paladin Registry.

Certified is Paladin’s highest level of due diligence for financial advisors and firms. Paladin has conducted background checks for the credentials and ethics that are documented in its Registry research reports.

Paladin provides free information services to investors who rely on planners and investment advisors to help them achieve their financial goals. Paladin is the only SEC registered firm that vets, validates, and documents the quality of financial professionals and firms (since 2003).
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Paladin Research Report For:

Regal Wealth Group

Key Contact: Gary Klein

I. Snapshot

A. Key Contact Name
  • Gary Klein
  • Telephone: (562) 799-1929
B. Combined Credentials of Key Professionals
  • Number of Firm Professionals: 3
    Average Years of Experience: 50+
    Combined Degrees: 3
    Certifications: 0
C. Firm Record of Compliance
  • No Disclosures
D. Assets Under Management & Advisement
  • $176,000,000
E. Minimum Asset Requirement
  • $250,000
F. Types of Client Relationships
  • Traditional
  • Virtual

II. Contact Information

A. Key Contact
  • Gary Klein
B. Main Location
  • Redlands, California, 92373
C. Additional Locations
  • Seal Beach, California
  • Carlsbad, California
  • La Jolla, California
  • Coronado, California
D. Telephone
  • Main: 562.799.1929
E. Comments
  • If possible, cc Jodie@regalwealthgroup.com Jodi Edwards, on all communications

III. Internet

IV. Firm(s)

A. Name of Firm
  • Regal Wealth Group, Inc.
B. Name of Registered Investment Advisor
  • Regal Wealth Group, Inc.
C. Name of Broker/Dealer
  • None

V. Professionals

VI. Firm Registration, Licensing, Compliance

A. Firm Registration (Advice & Services for Fees)
  • RIA
B. Type of RIA Registration
  • SEC
C. Firm Licenses (Commission Products)
  • Securities: No
  • Insurance: No
D. Firm Registration & License Numbers
  • CRD: 138374
  • IARD: 138374
  • Insurance: None
E. Firm State Licensing
  • Financial Advice, Services for Fees: All 50 States
  • Investment Products for Commission: Not Applicable
  • Insurance Products for Commission: Not Applicable
F. Financial Fiduciary (Advice & Services for Fees)
  • Yes
G. Firm Record of Compliance
  • FINRA.org: No Disclosures
  • SEC.gov: No Disclosures
  • State Securities: Not Applicable
  • State Insurance: Not Applicable
H. Additional Disclosure(s)
  • Please remember to contact Regal Wealth Group, Inc. if there are any changes in your personal/financial situation or investment objectives for the purpose of reviewing/evaluating/revising... View More
    Please remember to contact Regal Wealth Group, Inc. if there are any changes in your personal/financial situation or investment objectives for the purpose of reviewing/evaluating/revising our previous recommendations and/or services. Please also advise us if you would like to impose, add, or to modify any reasonable restrictions to our investment advisory services. A copy of our current written disclosure statement discussing our advisory services and fees continues to remain available for your
I. View Firm ADV
  • Available Upon Request
J. Links to Regulatory Agencies and Associations

VII. Business Data & Practices

A. Firm Business Philosophy
  • Read Business Philosophy

    We offer a process that integrates your financial resources with your vision of personal fulfillment, security and integrity. The result is not so much a single, rigid financial solution, but a vital process in which your wealth is always at the service of your life. By viewing your goals in tandem with your dreams, desires, and within the context of your means, we work with you every day to grow our understanding of your needs and to ensure your financial wellness.

B. Minimum Asset Requirement
  • $250,000
C. Number of Current Clients
  • 230
D. Assets (Management, Advisement)
  • $176,000,000
E. Methods of Compensation
  • Hourly Fee
  • Asset-Based Fee
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
  • Skype/Video
  • GoToMeeting (or similar service)
G. Types of Reports (Frequency)
  • Performance (Quarterly)
  • Brokerage Statement (Monthly)
  • Market Environment (Quarterly)
H. Value Statement
  • View Value Statement
    There is no charge for an initial consultation. Please give us a call and let's see if we are a fit for each other.

VIII. Clients & Services

A. Types of Firm Clients
  • Individuals & Couples (Working)
  • Individuals & Couples (Retired)
  • Business Pension Plans
  • Endowments & Foundations
B. Types of Financial Services
  • Planning Advice & Services
  • Investment Advice & Services
  • Other
C. Discretionary Asset Management
  • Yes
D. Limited Engagement Services
  • Financial Plan Reviews
  • Investment Portfolio Reviews
E. Custodian(s)
  • Fidelity

IX. Certification

Firm Name
  • Regal Wealth Group
Most Recent Update:
  • Jul 10, 2018

Other

Estate planning