Investment Management & Advisory Services

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Are you considering opening an account?

We’ve been investment professionals for many years. We know that there are a lot of tricks and nonsense foisted upon investors by others in the business. It doesn’t happen here.

So, the list below is what we would look for from a wealth manager, if we were a client.

1. Nothing up front. I don’t want to pay a sales charge up front.


2.  My funds are my funds. I want my account to be in my name only. I don’t want my Advisor to have custody or access to my funds.


3. 24/7 view access. I want to be able to view my account online, anytime, 7 days a week.


4. Keep me informed. I want to be regularly updated as to the strategy of my account.


5. No hidden charges. I want to pay a flat percentage fee (we charge [up to] 1.25% per year). I don’t want any hidden charges.


6. My preferences count. I want my adviser to consider tax holding periods for my taxable accounts and any other preferences that I express.


7. No speculation. I don’t want a money manager that speculates, uses margin debt, index options or other stock options.


8. Have a plan. I don’t want my funds cavalierly tossed into the stock market. I’d appreciate if my advisor personally worked with my account, gradually moving money into the market over a period of weeks or months.


9. No penalty transfers. I want to be able to make withdrawals or additions to my account anytime, in whatever amounts I choose, without cost.


10. Independent research. I want my manager to do his own research. I would like him to be wholly unconnected with Wall Street’s biased research.


11. Responsiveness. I want to be able to contact my Advisor and get a prompt reply.

So this is the list of our requirements, if we were a client. We subscribe to the notion that you should treat people the way that you would like to be treated. At Regent Financial Services, this is the way we do things.


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