Regatta Research & Money Management, LLC

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Our Services

Free Market Outlook
We are extending an exclusive invitation for you to gain access to our proprietary research that is normally reserved for our individual and institutional clients. This report is our way of introducing you to our time tested investment methodology.

Investor Starter Kit
Receive a hard copy from us in the mail. Learn more about our history, philosophy, services and code of ethics. We will mail your kit within one business day and include a free hard copy of our market outlook. Get yours today.

Money Management

Regatta offers and may utilize multiple investment vehicles in our financial planning and dynamic asset allocation process depending on the needs, suitability, desires of our clients, including but not limited to:

Tax Advantaged Accounts

Rollover IRA
Traditional IRAs
Roth IRAs
Inherited IRAs
529 Plans
No commission, no-load annuities
Your corporate retirement plan (401k, 403b, profit sharing, etc.) at your current place of employment.
- Active and Customized Management of Your 401k at Your Current Employer Even If Regatta Does Not Manage Your Company’s Overall Retirement Plan (Click here for more details)
- We can provide clients with a list of Third Party Administrators or use one provided by our clients.
- We can provide a menu of actively managed and/or a fixed number of investment options inside a corporate retirement plan for employees.

Taxable Accounts

Individual
Trust
Joint
UGMA/UTMA

Corporate Accounts

401k plans
403b plans
457
Profit sharing
Uni 401ks
SIMPLE-IRAs

Investment Vehicles

No-load, no commission, no transaction fee mutual funds, including access more than 175 no-load Fidelity mutual funds and 4,500 non-Fidelity funds through FundsNetwork®.
Stocks
ETFs
Options
CDs
Bonds
Structured Notes
Non-publicly traded REITs
Timber REITs
Hedge Funds of Hedge Funds
Unleveraged Commodity Indices
Non-Profit, Higher-Ed, Public Sector, & Taft-Hartley

Active and Customized Management of Your 401k at Your Current Employer Even If Regatta Does Not Manage Your Company’s Overall Retirement Plan

Through our Third Party Investment Advisor Authorization plan, Regatta Research’s Advisors can now get paid on these assets, and their clients can have their plan actively managed by Regatta.

How does it work? Assume you have a hypothetical client who is 45 years old and works for, say Google or even Exxon Mobil, but our plan can work for pretty much anyone. Your client is vested in stock options and is on the senior management track. They will probably not be terminating their employment anytime soon, but need help selecting and managing their retirement plan. Their 401k plan is the largest component of their portfolio. Prior to this, you could not be paid on these assets, and the client can not have the portfolio managed and protected.

Regatta has created a solution for this problem. Regatta Research’s clients sign our Third Party Investment Advisor Authorization form. This form provides us with the legal right to access their 401k accounts as the client’s agent. The client provides Regatta Research with their user name and password as well as their Risk Profile. On at least a quarterly basis, a Regatta Research analyst accesses the client’s account and actually re-allocates and re-balances the client’s 401k plan factoring in our market outlook, the investment options available, and the client’s risk profile. The client is billed directly by Regatta for this services or the amount owed is deducted against another account by Regatta. Our Advisors are able to receive compensation for this portion of the client’s portfolio even though the 401k or 403b plan is custodied at a custodian not typically utilized by Regatta or even when the plan is associated with a Financial Advisor or TPA not affiliated with Regatta.

This is not an offer to buy or sell securities. Past performance is no guarantee of future results, and you may have a gain or loss when selling an investment. Not FDIC insured. Not bank guaranteed. No current or prospective client should assume that the future performance of any specific investment, investment strategy (including the investments and/or investment strategies recommended and/or purchased by advisor), or product made reference to directly or indirectly on this web site, will be profitable or equal to corresponding indicated performance levels. Historical performance results for investment indexes and/or categories generally do not reflect the deduction of transaction and/or custodial charges or the deduction of the investment management fee, the incurrence of which would have {the} effect of decreasing historical performance results. Always ask for and examine an advisory agreement and disclosure brochure (SEC Form ADV), along with current prospectus before investing. Consult with a professional before investing. Please note that there is no assurance that trading models will achieve their past or projected results and could result in a loss. Regatta Research & Money Management, L.L.C. is a registered investment advisor located in Metairie, Louisiana. Regatta and its representatives are in compliance with the current notice filing requirements imposed upon SEC registered investment advisors by those states in which Regatta maintains clients. Regatta may only transact business in those states in which it is registered, or qualifies for an exemption or an exclusion from registration statements. Regatta's web site is limited to the dissemination of general information pertaining to its investment advisory services. Accordingly, the publication of Regatta's web site on the Internet should not be construed by any consumer and/or prospective client as Regatta's solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice, for compensation, over the Internet. Any subsequent, direct communication by Regatta with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration where the prospective client resides. For information pertaining to the registration status of Regatta, please contact the United States Securities and Exchange Commission (the "Commission)" and/or the state securities law administrators for whose states Regatta maintains a notice filing. A copy of Regatta's current written disclosure document discussing Regatta's business operations, services, and fees is available upon written request. Regatta does not make any representations or warranties as to the accuracy, the timeliness, suitability, completeness or relevance of any information prepared by an unaffiliated third party, whether linked to Regatta's web site or incorporated herein, and takes no responsibility therefore. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.