Arthur J. Mallet

Arthur J. Mallet is Regency Capital’s president and chief operating officer, directing the firm’s business functions and personnel. Arthur oversees the firm’s operations, compliance, performance, and technology. Arthur spent the past 11 years with an investment advisor where he rose to Executive Vice President. Under Arthur’s direction, that firm’s operations supported over $2 billion in assets under management among clients in 49 states and custodied at a dozen brokers and banks. Multi-state operations, technology overhauls, hard-to-change legacy systems, many cooks in the kitchen, SEC audit – Arthur has seen and dealt with it all.

Arthur worked at Bear, Stearns & Co. where he had a front row seat for the financial crisis, an experience that has shaped his view of the industry and the importance of the core values he helped shape at Regency Capital.

Arthur was born and raised in New York City, but his family’s history in finance dates back to 1713, where his ancestors founded La Banque Mallet, the first private bank in France. He received his B.S. in Finance at Lehigh University. He is fluent in French and holds triple citizenship (U.S., France, and Switzerland).