# Regency Financial

Regency Financial is a RIA based in Dayton, United States.

## Overview

- **Organization type:** RIA
- **Headquarters:** Dayton, United States
- **Region:** North America
- **Address:** Los Angeles, CA, United States
- **Assets under management:** Undisclosed
- **Website:** regencyfinancial.com

## Regulatory record

- **CRD number:** 128008
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/128008

## About

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.

## Sectors

- Enterprise Software
- FinTech
- Digital Health
- Media & Entertainment

## People

- Thomas E. Unterman — Founder and Managing Partner

## 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.

## Related profiles

- [KCS Advisors](https://altss.com/profile/kcs-advisors-llc)
- [Mark Vogel Wealth Management](https://altss.com/profile/mark-vogel-wealth-management-llc)

---

Last updated: 2026-07-06T01:24:24.138Z

Canonical page: https://altss.com/profile/regency-financial-llc

Maintained by Altss — https://altss.com — methodology: https://altss.com/methodology