Legal & Compliance

Website disclosure

Footer Disclaimer

Regatta Financial LLC is a registered investment adviser registered with the State of Maryland. Investment advisory services are offered on a fee-only basis, with no commissions on investment transactions. CRD number 333067.

This website is provided for informational and educational purposes only and is not individualized investment advice or a recommendation to buy or sell any security. Investing involves risk, including possible loss of principal. No investment strategy can guarantee a profit or protect against loss. Past performance is not indicative of future results. Advisory services are offered through Regatta Financial LLC.

Investment advisory services

Fee-Only Disclosure

Regatta Financial LLC offers investment advisory services on a fee-only basis, with no commissions on investment transactions.

Investment adviser disclosure

Fiduciary & Conflicts Disclosure

Regatta Financial LLC is a registered investment adviser and owes fiduciary duties within the scope of an advisory engagement. Advisory services may present conflicts. Details are described in Form ADV Part 2A and Form CRS. The fee-only investment advisory structure does not eliminate all conflicts.

Privacy information

Privacy Policy

Information about contact-form submissions and the privacy practices described on this site.

Legal disclosure

Form ADV Part 2A

Form ADV Part 2A information is maintained on this Legal & Compliance page.

Legal disclosure

Form ADV Part 2B

Form ADV Part 2B information is maintained on this Legal & Compliance page.

Legal disclosure

Form CRS

Form CRS information is maintained on this Legal & Compliance page.

Official public site

IAPD / Public Regulatory Profile

Use the official public site to review the public regulatory profile:

Blog disclosure

General Educational / Blog Disclosure

Regatta Financial LLC is a registered investment adviser registered with the State of Maryland. Investment advisory services are offered on a fee-only basis, with no commissions on investment transactions. This content is educational and general in nature and is not investment, tax, or legal advice. It is not a recommendation to buy, sell, or hold any security, currency, metal, coin, fund, or account type. CRD number 333067.