DM
DM
Daniel Micha
42 Years of Experience
Milwaukee, WI
4 DisclosuresMay Earn Commission
Daniel Micha is a registered investment advisor at Regal Bay Investment Group, LLC, based in Milwaukee, WI, with 42 years of industry experience. Their practice areas include Investment Management. Their firm serves 146 clients with $48M in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3 advisors
Number of Clients
146 clients
Average Client Portfolio
$326K average
Assets Under Management
$47.6M
Fee Structure
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.70% |
| $250K - $500K | 1.50% |
| $500K - $1000K | 1.20% |
| $1.0M - $2.0M | 1.10% |
| $2.0M - $5.0M | 0.90% |
| $5.0M - $10.0M | 0.80% |
| $10M+ | 0.60% |
Schedule is for Equity and Balanced Accounts. Fixed Investment Accounts are charged 0.50% on the first $2,000,000 and negotiable on amounts over $2,000,000.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
250 E. Wisconsin Ave, Suite 1500, Milwaukee, WI, 53202
Get directionsHistory
Regulatory History (4)
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Regulatory
February 2015Final
Employment Separation After Allegations
July 2012Regulatory
June 2012Final
Customer Dispute
September 2009Settled
Employment History
Current Registrations
Regal Bay Investment Group, LLC
May 2018 - Present · 8 yrs
Previous Registrations
Regal Bay Investment Group, LLC
November 2012 - April 2018 · 5 yrs 5 mos
RBC Capital Markets, LLC
August 2008 - July 2012 · 3 yrs 11 mos
RBC Capital Markets, LLCBroker
August 2008 - July 2012 · 3 yrs 11 mos
UBS Financial Services INC.Broker
August 2006 - September 2008 · 2 yrs 1 mo
Piper Jaffray & CO.Broker
May 1999 - August 2006 · 7 yrs 3 mos
Lutheran Brotherhood Securities CORP.Broker
June 1983 - March 1999 · 15 yrs 9 mos
State Registrations1 state
WI
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.