# Neil Rose

> Neil Rose is a fee-only financial advisor at Regency Capital Management in Bainbridge Island, Washington, who holds the CFA credential. Neil focuses on family wealth transfer, small business owners and founders (pre-exit). Regency Capital Management reports charging a percentage of assets on its Form ADV.

Page: https://find.wellspent.co/advisors/neil-rose/
Built from SEC adviser records and the firm's website; last checked October 30, 2026.

## Facts

- **Firm:** Regency Capital Management
- **Based in:** Bainbridge Island, Washington
- **Fee model (firm's Form ADV):** Percentage of assets
- **Assets under management (firm):** $364.1M across 371 accounts
- **Credentials:** CFA
- **Specialties:** Family wealth transfer, Small business owners, Founders (pre-exit)
- **Works with:** Founders, Ultra high net worth, Multi-generational families
- **CRD:** 4629568 (https://adviserinfo.sec.gov/individual/summary/4629568)
- **SEC registration:** Investment adviser representative in HI
- **Exams passed:** Series 65 (2003)
- **Firm size:** 5 employees
- **Disclosures:** None reported
- **Website:** https://regencycm.com

## Frequently asked questions

### Is Neil Rose a fee-only financial advisor?

Yes, according to SEC records as of October 29, 2026: Neil holds no broker registration, and Regency Capital Management reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency on its Form ADV.

### How does Neil charge for financial advice?

Neil's firm, Regency Capital Management, reports charging a percentage of assets on its SEC Form ADV.

### Where is Neil Rose based?

Neil Rose is based in Bainbridge Island, Washington.

### What does Neil specialize in?

Neil's specialties include family wealth transfer, small business owners and founders (pre-exit). Neil works with founders, ultra high net worth and multi-generational families.

### What credentials does Neil Rose hold?

Neil Rose holds the CFA credential.

### Is Neil Rose registered with the SEC?

Yes. Neil Rose is registered as an investment adviser representative in HI (CRD 4629568), per SEC Investment Adviser Public Disclosure data as of October 29, 2026.

### How much does Regency Capital Management manage?

Regency Capital Management reports $364.1M across 371 accounts in assets under management.

### How do I contact Neil Rose?

Through Neil's website, regencycm.com.

## Sources

- SEC adviser records (https://adviserinfo.sec.gov/individual/summary/4629568): the firm's Form ADV reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency, and the advisor holds no broker registration
- SEC Investment Adviser Public Disclosure and Form ADV: registration, exams, and firm facts, data as of October 29, 2026
- The firm's website (https://regencycm.com/): specialties, clients served, and fees, checked October 30, 2026

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Source: Wellspent, the public graph of fee-only advisors (https://find.wellspent.co). No paid placement.