BREGAL INVESTMENTS, INC.

CRD 285006File 801-108649

APPROVED

Custody

Filing as of Mar 30, 2026

Feed vintage Oct 1, 2026

Regulatory AUM

$27.55B

Top 10% of cohort (national)

Discretionary AUM

$27.55B

Clients

44 accounts

Employees

101

Top 10% of cohort in NY

Identity & registration

ADV Item 1

Organization form: Corporation
Firm type: Registered
SEC region: NYRO
Registration date: Dec 5, 2016
Principal office: 200 PARK AVENUE, 45TH FLOOR, NEW YORK, NY, 10166
Phone: 212-704-3000
Website: HTTP://WWW.BREGAL.COM/

Assets & accounts

ADV Item 5F

Total regulatory AUM: $27.55B
Discretionary AUM: $27.55B
Non-discretionary AUM: $0
Discretionary accounts: 44
Non-discretionary accounts: 0
Total accounts: 44
AUM per client: $626.1M

Clients by type

ADV Item 5D

Client type	Clients	AUM
Pooled investment vehicles	44	$27.55B

Compensation & activities

ADV Items 5E, 5G

Compensation

Other
Other (described) — REIMBURSEMENT OF EXPENSES ON A COST PLUS BASIS
Performance-based fees
A percentage of assets under your management

Advisory activities

Portfolio management for pooled investment vehicles

Custody

ADV Item 9

Firm Custody Cash: Yes
Firm Custody Assets: Yes
Firm Custody Clients: Yes
Firm Custody Securities: Yes
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: Yes

Disclosure events

ADV Item 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To	Change
Apr 1, 2026	Employees	96	101	increased by5
Apr 1, 2026	Clients	48	44	decreased by4
Apr 1, 2026	AUM	$25,847,352,343	$27,547,553,868	increased by$1,700,201,525
Apr 1, 2026	Accounts	48	44	decreased by4
May 1, 2025 vs Oct 1, 2022	Employees	68	96	increased by28
May 1, 2025 vs Oct 1, 2022	Clients	38	48	increased by10
May 1, 2025 vs Oct 1, 2022	AUM	$18,712,670,381	$25,847,352,343	increased by$7,134,681,962
May 1, 2025 vs Oct 1, 2022	Accounts	38	48	increased by10
Jun 1, 2022	AUM	$18,708,434,328	$18,712,670,381	increased by$4,236,053
Apr 1, 2022	Clients	36	38	increased by2
Apr 1, 2022	AUM	$21,631,537,754	$18,708,434,328	decreased by$2,923,103,426
Apr 1, 2022	Accounts	36	38	increased by2
Apr 1, 2021	Registration	—	APPROVED

On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.

See plans that list “BREGAL INVESTMENTS” as a service provider on 5500mcp →

Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“BREGAL INVESTMENTS” may also match similarly-named firms). Confirm identity against each filing.

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.