67
Regiment Capital Advisors, LLC registers with the SEC under the 120-day rule (Chicago, IL)
New SEC adviser (120-day rule) · CRD 339622 · 801-135384 · effective 2026-08-27
Effective 2026-08-27. 1 employee (1 advisory), no regulatory AUM reported yet. Affiliated with a broker-dealer. Notice-filed in IL. Limited Liability Company (IL).
120-day rule (must reach $100M RAUM)No RAUM yetBroker-dealer affiliateNo website listed
Contact (from the filing)
The main-office phone, website and address from Form ADV are shown to subscribers. See plans, or open the firm on IAPD.
Who this is for
- Compliance consulting
- RIA software (CRM, portfolio, billing)
- Custodian / clearing
- Recruiting & RIA platforms
- Archiving & surveillance
- Cybersecurity / managed IT
- E&O insurance