facebook twitter instagram linkedin google youtube vimeo tumblr yelp rss email podcast blog search brokercheck brokercheck

See what we're all about

Built By Advisors, For Advisors.

The Independent broker-dealer space has become overly crowded with companies turned into bureaucracies through the ownership of insurance companies and financial institutions.

Companies are over-promising and under-delivering – changing the rules of engagement mid-flight. Companies have forgotten that the advisor is the client, not the employee. It is becoming almost impossible to recognize one from the other.

There is one shining star that stands out from the crowd – Regulus.


Integrity should guide every decision in your business and personal life. We operate by this principle and believe in building relationships and fostering a culture where clients' priorities come first.


Traditional business models are obsolete. Firms stuck in their old ways are struggling to compete. We embrace innovation, which provides efficiencies and enables an environment to better serve our clients.


Regulus was founded by a group of forward-thinking entrepreneurs who believe that independence is the path to a higher quality of life. We believe by helping others gain financial freedom, you are able to achieve your own.

We’re not associated with a multinational wire house or an insurance conglomerate, so we are not captive to a particular brand or product. Freedom to choose what’s best for you and your client is our goal.

This is a relationship business – this single phrase has become a cliché in our industry. To us, there is no greater success than helping an advisor personally or professionally get everything they want out of life. We’ve made it a relationship business. It is about Increasing Your Quality of Life through whom you are affiliated. We know our colleagues and understand their business. Being in the trenches and out in the field has given us the insight and experience to create an advisor-centric environment.

Interested in learning more?

Contact us for a confidential conversation to learn more about our IQL initiative.