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KS

Kawika Shoji

REGENCY CAPITAL MANAGEMENT
Honolulu, HI 96813
Some features on this profile are disabled
CRD#: 7619349
KS

Professional summary

Kawika Shoji is a registered financial advisor currently at REGENCY CAPITAL MANAGEMENT INC. located in Honolulu, Hawaii.

Kawika is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Kawika has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kawika Shoji's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 13, 2022 - Present

REGENCY CAPITAL MANAGEMENT INC.

Office #1: 1001 Bishop Street Suite 1090, Honolulu, HI 96813
RIA
CRD#: 312435
Honolulu, HI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
REGENCY CAPITAL MANAGEMENT INC.
NEIL ROSE & CO. | REGENCY CAPITAL MANAGEMENT INC.

CRD#: 312435 / SEC#: 801-120277

RIA
Registered Investment Advisory firm - (2/4/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Hawaii
(9/13/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/12/2022
Uniform Investment Adviser Law Examination

Current Firm

RC
REGENCY CAPITAL MANAGEMENT INC.
NEIL ROSE & CO. | REGENCY CAPITAL MANAGEMENT INC.

CRD#: 312435 / SEC#: 801-120277

RIA
Registered Investment Advisory firm - (2/4/2021 Approved)
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Contact information

Main Address
1001 Bishop Street Suite 1090, Honolulu, HI 96813
Mailing Address
Phone number
(808) 451-3193
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

REGENCY CAPITAL MANAGEMENT INC. FORM ADV 2A 20250311 (3/11/2025)

Regulatory assets under management

Total Number of Accounts327
AUM (Assets Under Management)$ 303,843,360

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

REGENCY CAPITAL MANAGEMENT INC.

CRD#: 312435Honolulu, HI 96813

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