Item 5 – Fees and Compensation
Regent provides investment management, investment advice, and investment supervisory services. These services are
typically provided for a fee charged in arrears on a percentage of assets under management in the client’s account each
quarter. Regent acknowledges that certain clients are charged fees different from what is disclosed in the Advisory Fee
Schedule below. A Regent Advisor may determine that a client’s account will have a level of complexity that will require
additional activity to maintain the account. An adjustment to increase the fee will be discussed and agreed upon by both
Client and Advisor prior to entering into an agreement. In other circumstances an Advisor, at their discretion, may choose
to waive or reduce the fee. The specific fee is established in the Advisory Agreement signed by the client. Regent will
send the client a statement each quarter stating the amount of assets under management and the fee due for that quarter.
Clients may elect to be billed directly for fees or to authorize Regent to directly debit fees from client accounts.
Management fees shall be prorated for each material capital contribution and withdrawal made during the applicable
quarter. Accounts initiated or terminated during a calendar quarter will be charged a prorated fee. Upon termination of any
account any earned but unpaid fees will be due and payable.
Regent’s fees are exclusive of brokerage commissions, transaction fees, and other related costs and expenses which shall be
incurred by the client. Clients may incur certain charges imposed by custodians, brokers, third party investment and other
third parties such as fees charged by managers, custodial fees, deferred sales charges, odd-lot differentials, transfer taxes,
wire transfer and electronic fund fees, and other fees and taxes on brokerage accounts and securities transactions. Mutual
funds and exchange traded funds also charge internal management fees, which are disclosed in a fund’s prospectus. Such
charges, fees and commissions are exclusive of and in addition to Regent’s fee, and Regent does not receive any portion of
these commissions, fees, and costs.
Regent considers the broker’s execution capability, reputation, customer service, and access to the markets for the securities
being traded for the client in addition to the reasonableness of their compensation (e.g., commissions). If a client instructs
us to use a particular broker or dealer for their account, we will do so, but we will advise the client that we may not be able
to obtain the best execution services or prices for the client.
Regent Wealth Management, Inc. March 2026 Brochure Page 4 of 8
Please see Item 12 Brokerage Practices
Advisory Fees
Our fee schedule is as follows;
______Assets_______ Fee_
$ 0 - $300,000 1.75%
$ 300,001 - $1,000,000 1.25%
$1,000,001 - $2,500,000 1.00%
$2,500,001 - $5,000,000 .80%
$5,000,001 - + .65%
Percentages listed are shown as an annual rate.
Regent does not participate in a Wrap Fee program.