Regent Investment Management LLC

Regent Investment Management LLC (CRD# 164372) is a financial advisory firm headquartered in Louisville, KY. They manage $285,398,846 in 303 accounts and serve the financial needs of clients across 3 states (or territories).

By the Numbers
  • Total Assets Under Management
    285
    MILLION
  • Total Number of Accounts
    303
    ACCOUNTS
  • Average Account Value
    $941,910
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

FL, KY, TX

Financial Advisors at Regent Investment Management LLC
Showing 1 - 3 of 3 top financial advisors.
1
Mary D. Jones
CRD#: 3235471
4350 Brownsboro Rd, Suite 120, Louisville, KY 40207
96
Wealthminder
score

Mary Jones (CRD# 3235471) is an Investment Advisor Representative working at Regent Investment Management LLC in Louisville, KY and has over 17 years of experience in the finance industry.

2
Steven T. Naiser
CRD#: 4332041
4350 Brownsboro Rd, Suite 120, Louisville, KY 40207
96
Wealthminder
score

Steven Naiser (CRD# 4332041) is an Investment Advisor Representative working at Regent Investment Management LLC in Louisville, KY and has over 15 years of experience in the finance industry.

3
Martin N. McClelland
CRD#: 2599603
4350 Brownsboro Rd, Suite 120, Louisville, KY 40207
93
Wealthminder
score

Martin McClelland (CRD# 2599603) is an Investment Advisor Representative working at Regent Investment Management LLC in Louisville, KY and has over 21 years of experience in the finance industry.

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