Structure

Our Structure

At Regal Capital Management, we operate as a client coordination and advisory service platform designed to bridge the gap between individuals or businesses seeking financial guidance and qualified, FCA-regulated financial advisors.

We are not a financial advisory firm ourselves. Instead, we focus on managing the journey — from lead generation to connecting clients with the right advisor — while ensuring that the advisory process is delivered by accredited professionals in full compliance with UK financial regulations.

How It Works

1. Client Acquisition
We actively generate leads through targeted marketing, outreach, and strategic partnerships. Our internal team handles all discovery calls and consultations to understand each client’s needs, and to explain how our coordination service works. Clients pay a one-time coordination fee to be matched with a trusted advisor from our network.

2. Advisor Matching
Once a client has enrolled, we match them with a qualified, FCA-regulated financial advisor based on factors like availability, region, language preference, and experience. We never assign advisors based on a client’s specific financial needs — this ensures we stay within our unregulated coordination role.

3. Advisor Services
Advisors operate independently and provide regulated financial advice directly to the client. Regal Capital Management is not involved in this advisory process and does not influence or participate in any investment decisions. All advisors in our network are vetted to ensure high standards of service and regulatory compliance.

4. Ongoing Support & Coordination
We continue to support the client-advisor relationship through customer service, communication facilitation, and progress tracking. This ensures a seamless and valuable experience for all parties.

Our Legal Standing

We do not provide investment advice, manage client money, or recommend specific financial products. Instead, we operate as a coordination business within the FCA’s introducer-type or appointed representative guidelines.

This structure allows us to focus on client experience and relationship management, while ensuring that all financial advice is delivered by professionals regulated under the Financial Conduct Authority (FCA).

Why Our Model Works

  • Advisors focus on advising. We handle all client acquisition and admin.

  • Clients receive high-quality, independent advice.

  • We remain fully compliant with regulatory boundaries.

  • Our model allows for future expansion into regulated services.

 

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