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Industry Leadership. Tested In The Trenches Results.


Professionals affiliated with Regulus are completely independent, yet not alone. We understand our colleagues require the full scope of investment products and services to meet the demands of today’s modern investor. You can market under your own name or use our established retail brand, Regal Financial Group.


Our clients are the investment professionals that have chosen to affiliate with us. We’ve integrated a service attitude in our culture to provide exceptional support. When you contact Regulus, our dedicated and attentive team of associates are responsive and committed to working through your request or to completion and resolution. We are a performance-based organization and believe in accountability.

Progressive Technologies

A highly technological infrastructure allows integration between the B/D, RIA, and field force. As technology advances and our economies of scale increase, we bolt on our best-in-class services to make sure that you have a competitive advantage in the marketplace.

Insurance Support

Regulus works with major IMOs to support their affiliates with additional marketing in the insurance arena as they continue to grow their businesses. We are grateful to have partners led by leaders who embrace our core values. Our stance is fixed business does not run through our grid and our IMO. Our partners work with us on an override basis.

Empowered Technology

COMET is a FINRA/SEC compliant, on-demand, paperless processing system for advisors affiliated with Regulus. It’s driven by an integrated document management and workflow platform to manage forms processing, check processing, electronic signatures and more – all integrated to create efficiencies for the financial professional.

Albridge delivers powerful portfolio analysis and flexible reporting. The software produces professional client-facing reports that you can customize to share with your clients through the included client portal.

Riskalyze empowers Regulus with tools to capture a quantitative measurement of client risk tolerance, and use that data to win new clients, capture and meet expectations and quantify suitability.

Xtiva delivers critical performance and payout information daily across everything that impacts net payout - from activity blotters to period performance and pending to posted payouts. Brokers, advisors, branch managers and firm management can all access comprehensive compensation and sales tracking screens complete with trends, rankings, charts, electronic statements and transaction-level detail. 

Comprehensive Financial Planning  

Regal Investment Advisors, our independently-run RIA, allows us to capture market trends and innovative applications, providing an increased level of service to our affiliates.

For comprehensive financial planning strategies through Regulus, our affiliates and their practices are armed with the fee-structured portfolio management services, including:

  • Wrap Fee Programs
  • Financial Planning
  • Access to Boutique Portfolio Managers
  • Wealth Management & Consulting Services
  • Tamarac
To learn more about Regal Investment Advisors, please visit regalria.com.

Marketing Support

First, best, different: These are key components of any effective marketing plan. Being first to the market is often difficult, being best is often subjective, but you can always be different. Regulus’ marketing solutions give you a degree of separation in a crowded marketplace. We have the tools and processes in place for you to build your business and maintain an excellent customer service model. Our turnkey resources help advisors create top-of-mind awareness and a pipeline of qualified, prospective clients to work with.

Interested in learning more?

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