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The Independent broker-dealer space has become overly crowded with companies turned into bureaucracies through the ownership of insurance companies and financial institutions. Companies that are over-promising and under-delivering – changing the rules of engagement mid-flight. Companies have forgotten that the advisor is the client, not the employee! It is becoming almost impossible to recognize one from the other. There is one shining star that stands out from the crowd – Regulus Advisors. Regulus is the brightest star in the constellation Leo and one of the brightest stars in the nighttime sky. Regulus is known as the heart of the lion. Our brand is also a promise – a set of underlying beliefs that send a clear message about who we are and what we value as an organization. We will strive to be at the heart of every business relationship and shine brightly for every advisor to be proud of their affiliation. With state-of-the-art technology, an enterprise value program, and an environment where the advisor’s voice is heard and their ideas implemented, we’re helping our advisors have a higher quality of life.

Regulus Advisors was conceived by a group of forwardthinking entrepreneurs that believe independence is the path to a higher quality of life. We’re not associated with a multinational wire house or an insurance conglomerate, so we are not captive to a particular brand or product. Freedom to choose what’s best for you and your client is our goal. This is a relationship business – this single phrase has become a cliché in our industry. To us, there is no greater success than helping an advisor personally or professionally get everything they want out of life. We’ve made it a relationship business. It is about enhancing your quality of life through whom you are affiliated. We know our colleagues and understand their business. Being in the trenches and out in the field has given us the insight and experience to create an unparalleled, advisorcentric environment.

WHAT WE STAND FOR Our Mission Fostering relationships through Integrity, Innovation, and Independence.

Our Vision We understand that the advisor is our client. We realize that we need to provide exemplary service for client issues, commonsense compliance, and cutting-edge technology that will leverage your time and talents. We add value to your practice and quality of life by being “advisorcentric.� Relationships between management, operations and our affiliates are paramount for our success.

CORE VALUES We value the highest ethical standards We value a commitment to excellence We value respect for individuals We value investment in our people We value accountability We value humor We are an integrity-based organization that puts you, your family, and/or your business as our primary focus. We want relationships and friendships to generate from every business encounter. We want to increase the quality of your life.

“A man’s character is his fate.” - Heraclitus

DISTINGUISHING CHARACTERISTICS HOW WE ARE DIFFERENT INDEPENDENCE - 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 our brand, Regal Financial Group. SERVICE-ORIENTED - When we talk of clients, we mean the investment professionals that have chosen to affiliate with us. We’ve integrated a service attitude in our culture so that when you contact Regulus for support, our dedicated and attentive team of staff associates are responsive and committed to working through your request or problem all the way to completion and resolution. We believe in accountability. P ROGRESSIVE 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 of class services to make sure that you have a competitive advantage in the marketplace. INSURANCE SUPPORT – Regulus Advisors works with major IMOs to help their affiliates with additional marketing in the insurance arena support as they continue to grow their businesses. We are blessed to have partners that are lead by leaders that embrace our core values.

EMPOWERED TECHNOLOGY COMET is a FINRA/SEC compliant, on-demand, paperless processing system for advisors affiliated with Regulus Advisors. 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 Advisors 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.

Our privately-run RIA allows us to capture market trends and innovative applications while providing high levels of service to our affiliated Pershing platform. In addition, our affiliation with Fidelity, TD Ameritrade, and Schwab provides access to box solutions, our line up of boutique money managers, and self managed options, which provides a degree of separation in the marketplace. For comprehensive financial planning strategies through Regulus Advisors, our affiliates and their practices are armed with the following fee-structured portfolio management services: • Wrap Fee Programs • Financial Planning • Access to Boutique Portfolio Managers • Wealth Management & Consulting Services • Tamarac

Regulus has industry leaders with “Tested in the Trenches” results to assure that you are well-prepared for any client meeting, whether it is in a board room or at a kitchen table. We are confident that we can prepare and educate you and your staff to become more efficient and effective in client acquisition, client service, and practice management issues. Our IQL Series is constantly changing, improving and building on the needs and experience of our affiliates.

MARKETING First – Best – Different. These are the three 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. Regulus has the tools and processes in place for you to build your business and maintain an excellent customer service model. We provide turn-key resources for our advisors that create top-of-mind awareness and a pipeline of qualified, prospective clients to work with. These solutions help our advisors increase the quality of their lives.

“Give a man a fish and you feed him for a day. Teach him how to fish and you feed him for a lifetime” - Lao Tzu

SOCIAL RESPONSIBILITY MEETS CLIENT ENGAGEMENT Regulus Advisors believes that it has a corporate responsibility to give back to those who are in need. We make it a point to dedicate our time, talents, and finances to causes that are close to our heart.

“To move the world, we must first move ourselves” - Socrates

Regulus Advisors was created to increase the quality of life of its affiliated advisors. For some, it’s the freedom to never miss their grandson’s T-ball game. For others, it’s the resources available in building their practice so they can sell it with ease in the twilight of their career. The goal of Regulus Advisors is an increased quality of life for our affiliates. We have the experience and platform to help you achieve the practice of your dreams.

IMAGINE YOURSELF BEING ALIGNED WITH INDUSTRY LEADERS. If you would like to know more about Regulus Advisors, or if you have any questions for our senior management team, please do not hesitate to contact us. We welcome any and all inquiries and would appreciate the opportunity to explore the possibility of creating a successful relationship with you. All of our conversations will be confidential. Our team has been locking arms with professionals in this business for decades. We are forward-thinking entrepreneurs that are creating opportunities for our advisors everyday. We not only have the tools you need to succeed, we teach you how to use these tools to serve your clients, build equity, and create an increase in your quality of life - IQL. Regulus Advisors believes that the success of a company is made possible through the efforts of its people. If you would like to be part of the future of the industry, contact us or visit our website at:

Don Carlson

Executive Vice President Equity Owner 800.357.4757

Securities offered through Regulus Advisors, LLC. Member FINRA/SIPC. Investment Advisory services offered through Regal Investment Advisors, LLC., an SEC Registered Investment Advisor. Regal Investment Advisors, and Regulus Advisors are affiliated entities. 3.21.1810.regulus.1

Regulus Brochure  
Regulus Brochure