ITEM 1 – COVER PAGE · Certified Financial Planner Board of Standards, CFP®, 2003 Texas Tech University, B.S., 2002 ... Individuals who become certified must complete the following

ITEM 1 – COVER PAGE

Investment Adviser Brochure (Form ADV: Part 2B)

SEC File Number 801- 17301

March 25, 2020

This brochure supplement provides information about RegentAtlantic’s supervised persons that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about RegentAtlantic also is available on the SEC’s website at www.adviserinfo.sec.gov.

60 Columbia Road

Building A, Suite 300 Morristown, NJ 07960

973-425-8420

777 3rd Avenue, 28th Floor New York, NY 10017

212-661-9750

1200 Liberty Ridge Drive, Suite 130 Wayne, PA 19087

484-708-4720 www.regentatlantic.com

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TABLE OF CONTENTS

GREG ALLISON (Born 1979) ........................................................................................................................................... 3

BARBARA C. BILELLO (Born 1972)…………………………………………………………………………………………………………………….……..7

CHRISTOPHER J. CORDARO (Born 1962)……………………………………………………………………………………………………………. 10

JONATHAN A. GULMAN (Born 1986)………………………………………………………………………………………………………………….14

JONATHAN J. HOCHBERG (Born 1963)………………………………………………………………………………………………………………..17

MATTHEW HOLDEN (Born 1989) ................................................................................................................................ 20

ANDREW KAPYRIN (Born 1983) .................................................................................................................................. 23

JAMES F. MADDEN (Born 1964)………………………………………………………………………………………………………………………….26

PETER O’NEILL (Born 1987)………………………………………………………………………………………………………………………………..29

MICHAEL J. PAPPACHRISTOU (Born 1991) ................................................................................................................. 33

R. DAVID PETTIT (Born 1988)……………………………………………………………………………………………………………………………..37

PAUL S. PLATKIN (Born 1966)…………………………………………………………………………………………………………………………….40

DAVID M. SPUNGEN (Born 1961)……………………………………………………………………………………………………………………….43

ALEXANDER C. STEINER (Born 1988) .......................................................................................................................... 46

MICHAEL R. STEINER (Born 1971) ...................................................................................................................... 49

EILEEN M. STEVENS (Born 1992)…………………………………………………………………………………………………………………………54

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RegentAtlantic

Investment Adviser Brochure Supplement (Form ADV: Part 2B)


Supervised Person

Greg Allison

March 31, 2018

This brochure supplement provides information about Greg Allison that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about Greg Allison is available on the SEC’s website at www.adviserinfo.sec.gov.

60 Columbia Road Building A, Suite 300

Morristown, NJ 07960 973-425-8420

www.regentatlantic.com

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ITEM 2 - EDUCATIONAL BACKGROUND AND BUSINESS EXPERIENCE

GREG ALLISON (BORN: 1979)

Educational Background:

Certified Financial Planner Board of Standards, CFP®, 2003 Texas Tech University, B.S., 2002

Business Background:

RegentAtlantic, Director of Portfolio Management, 2008 to Present

Professional Designation - CFP:

The CERTIFIED FINANCIAL PLANNER™, CFP® and federally registered CFP (with flame design) marks (collectively, the “CFP® marks”) are professional certification marks granted in the United States by Certified Financial Planner Board of Standards, Inc. (“CFP Board”). The CFP® certification is a voluntary certification; no federal or state law or regulation requires financial planners to hold CFP® certification. It is recognized in the United States and a number of other countries for its: 1) high standard of professional education, 2) stringent code of conduct and standards of practice, and 3) ethical requirements that govern professional engagements with clients. Currently, more than 62,000 individuals have obtained CFP® certification in the United States.

To attain the right to use the CFP® marks, an individual must satisfactorily fulfill the following requirements:

Education: Complete an advanced college-level course of study addressing the financial planning subject areas that CFP Board’s studies have determined as necessary for the competent and professional delivery of financial planning services, and attain a Bachelor’s Degree from a regionally accredited United States college or university (or its equivalent from a foreign university). CFP Board’s financial planning subject areas include insurance planning and risk management, employee benefits planning, investment planning, income tax planning, retirement planning, and estate planning.

Examination: Pass the comprehensive CFP® Certification Examination. The examination, administered in 10 hours over a two-day period, includes case studies and client scenarios designed to test one’s ability to correctly diagnose financial planning issues and apply one’s knowledge of financial planning to real world circumstances;

Experience: Complete three years or professional experience in the financial planning process, or two years of apprenticeship experience that meets additional requirements. Qualifying experience may be acquired through a

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variety of activities and professional settings including personal delivery supervision, direct support or teaching; and

Ethics: Agree to be bound by CFP Board’s Standards of Professional Conduct, a set of documents outlining the ethical and practice standards for CFP® professionals.

Individuals who become certified must complete the following ongoing education and ethics requirements in order to maintain the right to continue to use the CFP® marks:

Continuing Education: Complete 30 hours of continuing education hours every two years, including two hours on the Code of Ethics and other parts of the Standards of Professional Conduct, to maintain competence and keep up with developments in the financial planning field; and

Ethics: Renew an agreement to be bound by the Standards of Professional Conduct. The Standards prominently require that CFP® professionals provide financial planning services at a fiduciary standard of care. This means CFP® professionals must provide financial planning services in the best interests of their clients.

CFP® professionals who fail to comply with the above standards and requirements may be subject to CFP Board’s enforcement process, which could result in suspension or permanent revocation of their CFP® certification.

ITEM 3 - DISCIPLINARY INFORMATION

Greg Allison does not have legal or disciplinary events to report.

ITEM 4 - OTHER BUSINESS ACTIVITIES

Greg Allison is not actively engaged in any investment related outside business activities. In addition, he is not actively engaged in any other business or occupation for compensation other than his duties with RegentAtlantic.

ITEM 5 - ADDITIONAL COMPENSATION

Greg Allison does not receive an economic benefit for providing advisory services from a non-client.

Greg is entitled to compensation equal to 25% of the advisory fee charged by RegentAtlantic for the initial four invoices for any clients he originates for the firm.

ITEM 6 – SUPERVISION

RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client portfolios. Reporting to ensure that portfolios are in compliance with the investment

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policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. Brian Kazanchy is the Co-Chair of RegentAtlantic’s Investment Committee and is responsible for supervising Greg Allison’s advisory activities. Brian can be reached by telephone at 973-425-8420 (ext. 235) or by email at [email protected].

All supervised persons must comply with RegentAtlantic’s compliance policies and procedures, which are designed to provide guidance with respect to both upholding RegentAtlantic’s fiduciary responsibility to act in the best interest of clients as well as complying with regulations and best practices. Jennifer E. Papadopolo is the Chief Compliance Officer and is responsible for the overall monitoring of these compliance policies and procedures. Jennifer’s telephone number is 973-425-8420 (ext. 206). She reviews various compliance areas on an ongoing basis to ensure that the compliance policies and procedures remain current, meet regulatory requirements and are consistent with RegentAtlantic’s business.

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1 – COVER PAGE

RegentAtlantic



Supervised Person

Barbara C. Bilello

April 9, 2019

This brochure supplement provides information about Barbara C. Bilello that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about Barbara C. Bilello is available on the SEC’s website at www.adviserinfo.sec.gov.


Morristown, NJ 07960 973-425-8420


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BARBARA C. BILELLO (BORN: 1972)


Providence College, B.A., 1994


RegentAtlantic, Wealth Advisor, 05/2017 – Present U.S. Trust, Private Client Advisor, 12/2013 – 01/2017 Goldman, Sachs & Co., Chief of Staff, 06/2011 – 05/2013


Barbara C. Bilello does not have legal or disciplinary events to report.


Barbara C. Bilello is not actively engaged in any investment related outside business activities. In addition, she is not actively engaged in any other business or occupation for compensation other than her duties with RegentAtlantic.


Barbara C. Bilello does not receive an economic benefit for providing advisory services from a non-client.

Barbara is entitled to compensation equal to a percentage of the new client revenue she originates for the firm. The percentage is based upon the level of new client revenue Barbara generates.


RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client portfolios. Reporting to ensure that portfolios are in compliance with the investment policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. Michael Steiner, a member of the Management Committee, is responsible for supervising Barbara C. Bilello’s advisory activities. He can be contacted at 973-425-8420 (ext. 214) or by email at [email protected].

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RegentAtlantic



Supervised Person

Christopher J. Cordaro

March 30, 2018

This brochure supplement provides information about Christopher J. Cordaro that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about Christopher J. Cordaro is available on the SEC’s website at www.adviserinfo.sec.gov.


Morristown, NJ 07960 973-425-8420


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CHRISTOPHER J. CORDARO (BORN: 1962)


CFA Charterholder, 2001 Rutgers University, MBA, 2000 College for Financial Planning, MS, 1992 College for Financial Planning, CFP®, 1988 SUNY Maritime College, B.S., 1985


RegentAtlantic, Chief Investment Officer and Wealth Advisor: 09/2017 – Present RegentAtlantic, Chief Executive Officer, Chief Investment Officer, and Wealth

Advisor: 03/2017 – 08/2017 RegentAtlantic, Chief Investment Officer and Wealth Advisor: 06/2013 – 03/2017 RegentAtlantic, Chief Executive Officer, Chief Investment Officer, and Wealth

Advisor: 02/2013 – 05/2013





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Experience: Complete three years or professional experience in the financial planning process, or two years of apprenticeship experience that meets additional requirements. Qualifying experience may be acquired through a variety of activities and professional settings including personal delivery supervision, direct support or teaching; and






Professional Designation - CFA

The Chartered Financial Analyst (CFA) charter is a professional designation established in 1962 and awarded by CFA Institute. To earn the CFA charter, candidates must pass three sequential, six-hour examinations. The three levels of the CFA Program test a wide range of investment topics, including ethical and professional standards, fixed-income analysis, alternative and derivative investments, and portfolio management and wealth planning. In addition, CFA charterholders must have at least four years of acceptable professional experience in the investment decision-making process and must commit to abide by, and annually reaffirm, their adherence to the CFA Institute Code of Ethics and Standards of Professional Conduct.

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Christopher J. Cordaro does not have legal or disciplinary events to report.


Christopher J. Cordaro is not actively engaged in any investment related outside business activities. In addition, he is not actively engaged in any other business or occupation for compensation other than his duties with RegentAtlantic.


Christopher J. Cordaro does not receive an economic benefit for providing advisory services from a non-client.

Christopher is entitled to compensation equal to a percentage of the new client revenue he originates for the firm. The percentage is based upon the level of new client revenue Christopher generates.


RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client portfolios. Reporting to ensure that portfolios are in compliance with the investment policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. James Reilly, one of the firm’s partners, is responsible for supervising Christopher Cordaro’s advisory activities. He can be contacted at 973-425-8420 (ext. 224) or at [email protected].


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RegentAtlantic



Supervised Person

Jonathan A. Gulman

September 3, 2019

This brochure supplement provides information about Jonathan Gulman that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about Jonathan Gulman is available on the SEC’s website at www.adviserinfo.sec.gov.

777 3rd Avenue New York, NY

212-661-9750www.regentatlantic.com

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JONATHAN A. GULMAN (BORN: 1986)


University of Michigan, MA, 2010 University of Michigan, B.A., 2009


RegentAtlantic, Wealth Advisor, 09/2019 to Present Hillview Capital Advisors, Vice President & Wealth Advisor, 10/2015 to 08/2019 Northern Trust, Account Manager, Wealth Management, 07/2014 to 10/2015 WeiserMazars, LLP, Audit Senior, 11/2010 to 07/2014

Professional Designation - CPA:

CPA certificants must pass the Uniform CPA Examination to qualify for a CPA certificate and license (i.e. permit to practice) to practice public accounting. While the exam is the same no matter where it’s taken, every state/jurisdiction has its own set of education and experience requirements that individuals must meet.


Jon Gulman does not have legal or disciplinary events to report.


Jon Gulman is not actively engaged in any investment related outside business activities. In addition, he is not actively engaged in any other business or occupation for compensation other than his duties with RegentAtlantic.


Jon Gulman does not receive an economic benefit for providing advisory services from a non-client.

Jon is entitled to compensation equal to 25% of the advisory fee charged by RegentAtlantic for the initial four invoices for any clients he originates for the firm.


RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client

16

portfolios. Reporting to ensure that portfolios are in compliance with the investment policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. Michael Steiner, a partner of the firm, is responsible for supervising Jon Gulman’s advisory activities. He can be reached at 973-425-8420 (ext. 214) or [email protected].


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RegentAtlantic



Supervised Person

Jonathan J. Hochberg

March 25, 2020

This brochure supplement provides information about Jonathan Hochberg that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about Jonathan Hochberg is available on the SEC’s website at www.adviserinfo.sec.gov.

777 3rd Avenue New York, NY

212-661-9750www.regentatlantic.com

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JONATHAN J. HOCHBERG (BORN: 1963)


New York University, MBA, 1989 George Washington University, BBA, 1985


RegentAtlantic, Wealth Advisor, 09/2019 to Present Hillview Capital Advisors, President, 03/2005 to 08/2019


Jonathan Hochberg does not have legal or disciplinary events to report.


Jonathan Hochberg is not actively engaged in any investment related outside business activities. In addition, he is not actively engaged in any other business or occupation for compensation other than his duties with RegentAtlantic.


Jonathan Hochberg does not receive an economic benefit for providing advisory services from a non-client.

Jonathan is entitled to compensation equal to a percentage of the new client revenue he originates for the firm. The percentage is based upon the level of new client revenue Jonathan generates.


RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client portfolios. Reporting to ensure that portfolios are in compliance with the investment policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. George Stapleton, CEO, is responsible for supervising Jonathan Hochberg’s advisory activities. He can be reached at 973-425-8420 (ext. 245) or [email protected].

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RegentAtlantic



Supervised Person

Matthew Holden

April 9, 2019

This brochure supplement provides information about Matthew Holden that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about Matthew Holden is available on the SEC’s website at www.adviserinfo.sec.gov.


Morristown, NJ 07960 973-425-8420


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MATTHEW HOLDEN (BORN: 1989)


University of Richmond, B.A., 2012


RegentAtlantic, Investment Analyst, 10/2014 - Present State Street Boston, Associate, 02/2013 – 09/2014 The Louis Berger Group, Accounting Intern, Summer 2011, May 2012 – January

2013 No prior business back ground in the past five years other than what is listed

above


Matthew Holden does not have legal or disciplinary events to report.


Matthew Holden is not actively engaged in any investment related outside business activities. In addition, he is not actively engaged in any other business or occupation for compensation other than his duties with RegentAtlantic.


Matthew Holden does not receive an economic benefit for providing advisory services from a non-client.

Matthew is entitled to compensation equal to 25% of the advisory fee charged by RegentAtlantic for the initial four invoices for any clients he originates for the firm.


RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client portfolios. Reporting to ensure that portfolios are in compliance with the investment policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. Brian Kazanchy, member of the Management Committee, is responsible for supervising Matthew

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Holden’s advisory activities. Brian can be reached by telephone at 973-425-8420 (ext. 235) or by email at [email protected].


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RegentAtlantic



Supervised Person

Andrew Kapyrin

September 3, 2019

This brochure supplement provides information about Andrew Kapyrin that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about Andrew Kapyrin is available on the SEC’s website at www.adviserinfo.sec.gov.

1200 Mount Kemble Avenue Morristown, NJ 07960


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ANDREW KAPYRIN (BORN: 1983)


CFA Charterholder, 2011 Drew University, B.A., 2006


RegentAtlantic, Co-Head of Investment and Co-Chair of the Investment Committee, 09/2019 to present

RegentAtlantic, Director of Research and Co-Chair of the Investment Committee, 01/2011-08/2019




Andrew Kapyrin does not have legal or disciplinary events to report.


Andrew Kapyrin is not actively engaged in any investment related outside business activities. In addition, he is not actively engaged in any other business or occupation for compensation other than his duties with RegentAtlantic.


Andrew Kapyrin does not receive an economic benefit for providing advisory services from a non-client.

Andrew is entitled to compensation equal to 25% of the advisory fee charged by RegentAtlantic for the initial four invoices for any clients he originates for the firm.

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RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client portfolios. Reporting to ensure that portfolios are in compliance with the investment policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. Brian Kazanchy, member of the Management Committee, is responsible for supervising Andy Kapyrin’s advisory activities. Brian can be reached by telephone at 973-425-8420 (ext. 235) or by email at [email protected].


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RegentAtlantic



Supervised Person

James F. Madden

September 3, 2019

This brochure supplement provides information about James F. Madden that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about James F. Madden is available on the SEC’s website at. www.adviserinfo.sec.gov .

1200 Liberty Ridge Drive, Suite 130 Wayne, PA 19087


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JAMES F. MADDEN (BORN: 1964)


University of Georgia, MBA, 1991 Wake Forest University, BA, 1986


RegentAtlantic, Wealth Advisor, 09/2019 to Present Hillview Capital Advisor, Principal, Managing Director, Client Wealth Advisor


James Madden does not have legal or disciplinary events to report.


James Madden is not actively engaged in any investment related outside business activities. In addition, he is not actively engaged in any other business or occupation for compensation other than his duties with RegentAtlantic.


James Madden does not receive an economic benefit for providing advisory services from a non-client.

James is entitled to compensation equal to a percentage of the new client revenue he originates for the firm. The percentage is based upon the level of new client revenue James generates.


RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client portfolios. Reporting to ensure that portfolios are in compliance with the investment policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. J. Brent Beene, member of the Management Committee, is responsible for supervising James Madden’s advisory activities. He can be reached by telephone at 973-425-8420 (ext. 230) or by email at [email protected].

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RegentAtlantic



Supervised Person

Peter J. O’Neill

April 9, 2019

This brochure supplement provides information about Peter O’Neill that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about Peter O’Neill is available on the SEC’s website at www.adviserinfo.sec.gov.


Morristown, NJ 07960 973-425-8420


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TEM 2 - EDUCATIONAL BACKGROUND AND BUSINESS EXPERIENCE

PETER J. O’NEILL (BORN: 1987)


Fairleigh Dickinson University, Financial Planning Certificate Program, 2016 Saint Joseph’s University Haub School of Business, BS 2012


RegentAtlantic, Wealth Advisor, 04/2019 to Present Beacon Trust Company, Vice President, Wealth Strategist, 06/2014 to 04/2019 AMG National Trust Bank, Wealth Management Financial Analyst II, 05/2012 to

06/2014






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Ethics: Renew an agreement to be bound by the Standards of Professional Conduct. The Standards prominently require that CFP® professionals provide financial planning services at a fiduciary standard of care. This means CFP® professionals must provide financial planning services in the best interests of their clients. CFP® professionals who fail to comply with the above standards and requirements may be subject to CFP Board’s enforcement process, which could result in suspension or permanent revocation of their CFP® certification.


Peter O’Neill does not have legal or disciplinary events to report.


Peter O’Neill is not actively engaged in any investment related outside business activities. In addition, he is not actively engaged in any other business or occupation for compensation other than his duties with RegentAtlantic.


Peter O’Neill does not receive an economic benefit for providing advisory services from a non-client.

Peter is entitled to compensation equal to 25% of the advisory fee charged by RegentAtlantic for the initial four invoices for any clients he originates for the firm.

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RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client portfolios. Reporting to ensure that portfolios are in compliance with the investment policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. Jeffrey Boyer, one of the firm’s partners, is responsible for supervising Peter O’Neill’s advisory activities. Jeffrey can be reached by telephone at 973-425-8420 (ext. 246) or by email at [email protected].


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RegentAtlantic



Supervised Person

Michael J. Pappachristou

April 9, 2019

This brochure supplement provides information about Michael J. Pappachristou that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about Michael J. Pappachristou is available on the SEC’s website at www.adviserinfo.sec.gov.


Morristown, NJ 07960 973-425-8420


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MICHAEL J. PAPPACHRISTOU (BORN: 1991)


Certified Financial Planner Board of Standards, CFP®, 2016 Loyola University, BBA, 2013


RegentAtlantic, Wealth Advisor 09/2018 to Present RegentAtlantic, Analyst, 04/2016 to 08/2018 Chesapeake Financial Advisors, Senior Investment Analyst, 07/2013 to 03/2016






Experience: Complete three years or professional experience in the financial planning process, or two years of apprenticeship experience that meets

35

additional requirements. Qualifying experience may be acquired through a variety of activities and professional settings including personal delivery supervision, direct support or teaching; and







Michael J. Pappachristou does not have legal or disciplinary events to report.


Michael J. Pappachristou is not actively engaged in any investment related outside business activities. In addition, he is not actively engaged in any other business or occupation for compensation other than his duties with RegentAtlantic.


Michael J. Pappachristou does not receive an economic benefit for providing advisory services from a non-client.

Michael is entitled to compensation equal to 25% of the advisory fee charged by RegentAtlantic for the initial four invoices for any clients he originates for the firm.

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RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client portfolios. Reporting to ensure that portfolios are in compliance with the investment policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. Michael Steiner, one of the firm’s partners, is responsible for supervising Michael J. Pappachristou’s advisory activities. He can be reached by telephone at 973-425-8420 (ext. 214) or by email at [email protected].


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RegentAtlantic



Supervised Person

R. David Pettit

December 2, 2019

This brochure supplement provides information about R. David Pettit that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about R. David Pettit is available on the SEC’s website at www.adviserinfo.sec.gov.


Morristown, NJ 07960 973-425-8420


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R. DAVID PETTIT (BORN: 1988)


Drexel University, BS, 2011


RegentAtlantic, Associate Wealth Advisor, 12/2019 to Present RegentAtlantic, Analyst, 06/2019 to 11/2019 Coastal Wealth, A Mass Mutual Firm, Investment Advisor Representative,

04/2018 to 06/2019 Pettit Audio, Audio Engineer, 06/2011 to 04/2018


R. David Pettit does not have legal or disciplinary events to report.


R. David Pettit is not actively engaged in any investment related outside business activities. David is currently a freelance audio engineer.


R. David Pettit does not receive an economic benefit for providing advisory services from a non-client.

David is entitled to compensation equal to 25% of the advisory fee charged by RegentAtlantic for the initial four invoices for any clients he originates for the firm.

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RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client portfolios. Reporting to ensure that portfolios are in compliance with the investment policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. Michael Steiner, one of the firm’s partners, is responsible for supervising R. David Pettit’s advisory activities. He can be reached by telephone at 973-425-8420 (ext. 214) or by email at [email protected].


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RegentAtlantic



Supervised Person

Paul S. Platkin

September 3, 2019

This brochure supplement provides information about Paul S. Platkin that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about Paul S. Platkin is available on the SEC’s website at www.adviserinfo.sec.gov.

777 3rd Avenue New York, NY 212-661-9750


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PAUL S. PLATKIN (BORN: 1966)


Columbia University, MBA, 1992 Georgetown University, BSBA, 1988


RegentAtlantic, Co-Head of Investments: 09/2019 to Present Hillview Capital Advisors, Chief Investment Officer, 04/2016 to 08/2019 Gruss & Co., Chief Investment Officer, 05/2013 to 12/2015 Arden Asset Management, Chief Investment Officer, Arden-Sage, 10/2011 to

12/2012 Robeco-Sage Capital Management, Chief Investment Officer, Robeco-Sage,

04/2003 to 09/2011 General Motors Asset Management, General Director/Absolute Return Strategies

Unit, 05/1994 to 04/2003



42


Paul S. Platkin does not have legal or disciplinary events to report.


Paul S. Platkin is not actively engaged in any investment related outside business activities. In addition, he is not actively engaged in any other business or occupation for compensation other than his duties with RegentAtlantic.


Paul S. Platkin does not receive an economic benefit for providing advisory services from a non-client.

Paul is entitled to compensation equal to 25% of the advisory fee charged by RegentAtlantic for the initial four invoices for any clients he originates for the firm.


RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client portfolios. Reporting to ensure that portfolios are in compliance with the investment policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. Christopher Cordaro, one of the firm’s partners, is responsible for supervising Paul Platkin’s advisory activities. He can be contacted at 973-425-8240 (ext. 207) or [email protected].


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RegentAtlantic



Supervised Person

David M. Spungen

September 3, 2019

This brochure supplement provides information about David M. Spungen that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about David M. Spungen is available on the SEC’s website at. www.adviserinfo.sec.gov.

777 3rd Avenue New York, NY 212-661-9750


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DAVID M. SPUNGEN (BORN: 1961)


University of Pennsylvania, BA, 1983


RegentAtlantic, Wealth Advisor, 09/2019 to Present Hillview Capital Advisors, Chief Executive Officer, 04/1999 to 08/2019 CMS Investment Resources, Inc., Director-Capital Management Division,

02/1988 to 03/1999


David Spungen does not have legal or disciplinary events to report.


David Spungen serves on the advisory board of two private companies, Real Eats America, Inc. and Blanket. In these roles David provides strategic business advice. These activities do not provide a substantial source of income nor do they require a substantial amount of David’s time. There is no business relationship between these companies and RegentAtlantic.


David Spungen does not receive an economic benefit for providing advisory services from a non-client.

David is entitled to compensation equal to percentage of the new client revenue he originates for the firm. The percentage is based upon the level of new client revenue David generates.


RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client portfolios. Reporting to ensure that portfolios are in compliance with the investment policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. George Stapleton, a partner of the firm, is responsible for supervising David Spungen’s advisor activities.

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He can be reached by telephone at 973-425-8420 (ext. 245) or by email at [email protected].


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RegentAtlantic



Supervised Person

Alexander C. Steiner

April 9, 2019

This brochure supplement provides information about Alexander Steiner that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about Alexander Steiner is available on the SEC’s website at www.adviserinfo.sec.gov.


Morristown, NJ 07960 973-425-8420


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ALEXANDER C. STEINER (BORN: 1988)


CFA Charterholder, 2016 Rutgers University, B.A., 2012


RegentAtlantic, Investment Analyst, 03/2016 - Present Oppenheimer & Co. Inc. – Fahnestock Asset Management, Associate, 05/2012 –

03/2016 Oppenheimer & Co. Inc. – Fahnestock Asset Management, Asset Management

Internship, 03/2011 – 04/2012 Oppenheimer & Co. Inc. – Fahnestock Asset Management, Financial Advisor

Internship, 01/2011 – 02/2011 PNC Financial Services, Financial Consultant, 02/2009 – 04/2010

Professional Designation – CFA:

The Chartered Financial Analyst (CFA) charter is a professional designation established in 1962 and awarded by CFA Institute. To earn the CFA charter, candidates must pass three sequential, six-hour examinations. The three levels of the CFA Program test a wide range of investment topics, including ethical and professional standards, fixed-income analysis, alternative and derivative investments, and portfolio management and wealth planning. In addition, CFA charterholders must have at least four years of acceptable professional experience in the investment decision-making process and must commit to abide by, and annually reaffirm, their adherence to the CFA Institute Code of Ethics and Standards of Professional Conduct


Alexander Steiner does not have legal or disciplinary events to report.


Alexander Steiner is not actively engaged in any investment related outside business activities. In addition, he is not actively engaged in any other business or occupation for compensation other than his duties with RegentAtlantic.


Alexander Steiner does not receive an economic benefit for providing advisory services from a non-client.

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Alexander is entitled to compensation equal to 25% of the advisory fee charged by RegentAtlantic for the initial four invoices for any clients he originates for the firm.


RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client portfolios. Reporting to ensure that portfolios are in compliance with the investment policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. Brian Kazanchy, member of the firm’s Management Committee, is responsible for supervising Alexander Steiner’s advisory activities. Brian can be reached by telephone at 973-425-8420 (ext. 235) or by email at [email protected].


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RegentAtlantic



Supervised Person

Michael R. Steiner

April 9, 2019

This brochure supplement provides information about Michael R. Steiner that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about Michael R. Steiner is available on the SEC’s website at www.adviserinfo.sec.gov.


Morristown, NJ 07960 973-425-8420


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MICHAEL R. STEINER (BORN: 1971)


CFP Board of Standards, 2000 State of New Jersey, CPA, 2000 State of New York, CPA, 1997 Hofstra University, B.B.A., 1993


RegentAtlantic, Partner and Wealth Advisor, 02/2013 – Present RegentAtlantic, Wealth Manager, 01/2001 – 01/2013






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Professional Designation – CPA:

CPAs are licensed and regulated by their state boards of accountancy. While state laws and regulations vary, the education, experience and testing requirements for licensure as a CPA generally include minimum college education (typically 150 credit hours with at least a baccalaureate degree and a concentration in accounting), minimum experience levels (most states require at least one year of experience providing services that involve the use of accounting, attest, compilation, management advisory, financial advisory, tax or consulting skills, all of which must be achieved under the supervision of or verification by a CPA), and successful passage of the Uniform CPA Examination. In order to maintain a CPA license, states generally require the completion of 40 hours of continuing professional education (CPE) each year (or 80 hours over a two year period or 120 hours over a three year period). Additionally, all American Institute of Certified Public Accountants (AICPA) members are required to follow a rigorous Code of Professional Conduct which requires that they act with integrity, objectivity, due care, competence, fully disclose any conflicts of interest (and obtain client consent if a conflict exists), maintain client confidentiality, disclose to the client any commission or referral fees, and serve the public interest when providing financial services. The vast majority of state boards of accountancy have adopted the AICPA’s Code of Professional Conduct within their state accountancy laws or have created their own.

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Michael R. Steiner does not have legal or disciplinary events to report.


Michael R. Steiner is not actively engaged in any investment related outside business activities. In addition, he is not actively engaged in any other business or occupation for compensation other than his duties with RegentAtlantic.


Michael R. Steiner does not receive an economic benefit for providing advisory services from a non-client.

Michael is entitled to compensation equal to a percentage of the new client revenue he originates for the firm. The percentage is based upon the level of new client revenue Michael generates.


RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client portfolios. Reporting to ensure that portfolios are in compliance with the investment policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. Brian Kazanchy, member of the Management Committee, is responsible for supervising Michael Steiner’s advisory activities. He can be contacted at 973-425-8420 (ext. 235) or by email at [email protected].


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RegentAtlantic



Supervised Person

Eileen M. Stevens

January 6, 2020

This brochure supplement provides information about Eileen M. Stevens that supplements RegentAtlantic’s brochure. You should have received a copy of that brochure. Please contact Jennifer E. Papadopolo, Chief Compliance Officer, at 973-425-8420 (ext. 206) or [email protected] if you did not receive RegentAtlantic’s brochure or if you have any questions about the contents of this supplement.

Additional information about Eileen M. Stevens is available on the SEC’s website at www.adviserinfo.sec.gov.


Morristown, NJ 07960 973-425-8420


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EILEEN M. STEVENS (BORN: 1992)


CFP Board of Standards, 2016 Virginia Tech, B.S., 2014


RegentAtlantic, Associate Wealth Advisor, 01/2020 to Present Abacus Planning Group, Inc. 06/2014 to 12/2019 Charles Schwab & Co., Intern Summer 2013


The CERTIFIED FINANCIAL PLANNER™, CFP® and federally registered CFP (with flame design) marks (collectively, the “CFP® marks”) are professional certification marks granted in the United States by Certified Financial Planner Board of Standards, Inc. (“CFP Board”). The CFP® certification is a voluntary certification; no federal or state law or regulation requires financial planners to hold CFP® certification. It is recognized in the United States and a number of other countries for its 1) high standard of professional education, 2) stringent code of conduct and standards of practice, and 3) ethical requirements that govern professional engagements with clients. Currently, more than 62,000 individuals have obtained CFP® certification in the United States.




Experience: Complete three years or professional experience in the financial planning process, or two years of apprenticeship experience that meets

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additional requirements. Qualifying experience may be acquired through a variety of activities and professional settings including personal delivery supervision, direct support or teaching; and



Continuing Education: Complete 30 hours of continuing education units every two years, including two hours on the Code of Ethics and other parts of the Standards of Professional Conduct, to maintain competence and keep up with developments in the financial planning field; and




Eileen M. Stevens does not have legal or disciplinary events to report.


Eileen M. Stevens is not actively engaged in any Investment-related outside business activities. In addition, she is not actively engaged in any other business or occupation for compensation other than her duties with RegentAtlantic.


Eileen M. Stevens does not receive an economic benefit for providing advisory services from a non-client.

Eileen is entitled to compensation equal to 25% of the advisory fee charged by RegentAtlantic on the initial four invoices for any clients she originates for the firm.


RegentAtlantic’s Investment Committee establishes the overall investment policy for the firm. The firm’s investment team then implements this policy and monitors the client

56

portfolios. Reporting to ensure that portfolios are in compliance with the investment policy are reviewed by the firm’s risk management committee who provides reports to the Management Committee who will take further action, if needed. Michael Steiner, one of the firm’s partners, is responsible for supervising Eileen Stevens advisory activities. He can be reached by telephone at 973-425-8420 (ext. 214) or by email at [email protected].

All supervised persons must comply with RegentAtlantic’s compliance policies and procedures, which are designed to provide guidance with respect to both upholding RegentAtlantic’s fiduciary responsibility to act in the best interest of clients as well as complying with regulations and best practices. Jennifer E. Papadopolo is the Chief Compliance Officer and is responsible for the overall monitoring of these compliance policies and procedures. Jennifer’s telephone number is 973-425-8420 (ext. 206). She reviews various compliance areas on an ongoing basis to ensure that the compliance policies and procedures remain current, meet regulatory requirements, and are consistent with RegentAtlantic’s business.

Documents

ITEM 1 – COVER PAGE · Certified Financial Planner Board of Standards, CFP®, 2003 Texas Tech University, B.S., 2002 ... Individuals who become certified must complete the following