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Regency Financial
Regency Financial, LLC is a state-registered investment adviser based in Dayton, Ohio. It has one employee and one investment adviser. The firm is...
Overview
Regency Financial, LLC is a state-registered investment adviser based in Dayton, Ohio. It has one employee and one investment adviser. The firm is headquartered in Dayton.
General information
Firm type
RIA
Location
Region
North America
Country
United States
City
Dayton
Corporate office
Los Angeles, CA, United States
Principals
Thomas E. Unterman
Founder and Managing Partner
Sector focus
Frequently asked questions
Who runs investment decisions at Regency Financial?
Thomas E. Unterman, the firm's founder and managing partner, makes all investment decisions. His background combines decades as an institutional operator at The TCW Group with direct venture investing through Rustic Canyon Partners, where he serves as a director. Regency does not publicly disclose an investment committee structure, and the office operates with a lean team reporting to Unterman.
What investment stages does Regency Financial typically target?
Based on Unterman's known investment activity, Regency targets early-stage companies, primarily Series A and B rounds. The office invests in enterprise software, fintech, digital media, and digital health. Regency does not publicly disclose a formal stage mandate, but its portfolio pattern favors companies with established product-market fit that are scaling revenue.
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