Legacy Investment Services, LLC

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Client assets under management

$44,181,215

Clients

277

0% high-net worth

Advisors

of 4 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

High

Average account size

$159,499

About

Legacy Investment Services, LLC provides fee‑based advisory services focused on managing investments held inside variable annuity and variable life products and serves primarily individual clients. The firm reports roughly $44.2 million in assets under management, all handled on a non‑discretionary basis, and also assists clients who are placed with third‑party money managers and model programs.

LIS’s approach centers on assembling portfolios from the investment options available within insurance contracts, monitoring those annuity and life accounts at least annually, and using fundamental, technical and cyclical analysis to support recommendations. For clients who seek externally managed discretionary strategies, the firm refers to third‑party managers (including Morningstar and Gradient), acts as a liaison, helps with suitability and paperwork, and provides periodic reviews and financial planning as part of its services.

Noteworthy for a team firm, Legacy’s assets are managed almost entirely on a non‑discretionary basis and its business model relies heavily on referrals and fee‑sharing arrangements with third‑party managers rather than direct discretionary trading. The brochure discloses affiliated insurance activities, incentive arrangements with certain managers, and ownership connections that can create conflicts of interest; those relationships are described in the ADV and disclosed to clients with stated mitigation measures and fiduciary obligations.

Client services

Portfolio management Selection of other advisers

Expertise

Annuities General estate planning guidance

Fee options

Fixed

$300 flat fee for Client Directed Accounts with Gradient Investments.

Percentage

$0 - $500,000: 1.50% to 1.65% (varies by program type) $500,001 - $1,000,000: 1.40% to 1.60% (varies by program type) $1,000,001 - $2,000,000: 1.10% to 1.55% (varies by program type) $2,000,001+: 0.90% to 1.50% (varies by program type)

Commissions

Insurance commissions paid to representatives for insurance products; conflicts disclosed.

Other

Account minimum: $250,000 household minimum Fee-only: Annual advisory fees up to 1.5% for LIS direct management; tiered fees for Morningstar Managed Portfolios and Gradient Investments ranging from 1.00% to 2.15% annually; fees are negotiable.

Main office location

Legacy Investment Services, LLC

8667 Haven Ave, Suite 200

Rancho Cucamonga CA 91730, United States

Number of offices

Most active in

Arizona · California · Idaho · Louisiana · Nevada · Tennessee · Texas

Disclosures

Business activities & affiliations

Is active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Is not active or affiliated with:

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

LinkedIn Website 909-948-0700

Advisors at this firm

Mark B

Series 63, Series 65

Rancho Cucamonga, CA

Legacy Investment Services, LLC

Mark Basile is a financial advisor with Legacy Investment Services, LLC in Rancho Cucamonga, CA, holding Series 63 and Series 65 licenses and having nine years of industry experience. His prior roles include positions at WinGroup Financial, LLC and operating as a sole proprietor. He is also an instructor at Pasadena City College. Legacy Investment Services primarily advises individual clients on variable annuity and variable life products, coordinating referrals to third-party money managers. The firm operates largely on a non-discretionary basis, focusing on investment selection within insurance contracts and providing financial planning reviews aligned with client goals and risk tolerances.

Annuities General estate planning guidance

Mark S

Series 63, Series 65

Rancho Cucamonga, CA

Legacy Investment Services, LLC

Mark Sharifi is a financial advisor with Legacy Investment Services, LLC, holding Series 63 and Series 65 licenses and over 21 years of industry experience. He has worked at Legacy Investment Services since 2007 and previously was involved with Gradient Securities, LLC. Outside of advisory work, he serves as president of a nonprofit organization, JJ Non-Profit. Legacy Investment Services provides investment advice primarily to individual clients, focusing on variable annuity and variable life product management and coordinating referrals to third-party money managers. The firm operates largely on a non-discretionary basis and emphasizes investment analysis guided by client-specific risk tolerances and Investment Policy Statements.

Annuities General estate planning guidance

Rahmatullah T

Series 63, Series 65

Rancho Cucamonga, CA

Legacy Investment Services, LLC

Rahmatullah Tameez is a financial advisor with Legacy Investment Services, LLC, holding Series 63 and Series 65 credentials and over 11 years of industry experience. He has been associated with Legacy Investment Services since 2014 and has held teaching positions at Fullerton College and California State University San Bernardino. Outside of his advisory role, he serves as an insurance agent at Legacy Financial & Insurance Services. Legacy Investment Services primarily advises individual clients on variable annuity and variable life products, coordinating referrals to third-party money managers. The firm focuses on non-discretionary account management, financial planning reviews, and utilizes fundamental, technical, and cyclical investment analysis methods.

Annuities General estate planning guidance

Tanya T

Series 65

Rancho Cucamonga, CA

Legacy Investment Services, LLC

Tanya Tong is a financial advisor with Legacy Investment Services, LLC, holding a Series 65 designation and two years of industry experience. Her work history includes roles at Legacy Financial and Insurance Services LLC and Dewey, McDonald & Carillo Inc. Outside of advisory work, she is involved in insurance sales and services through Legacy Financial and Insurance Services LLC. Legacy Investment Services primarily advises individual clients on variable annuity and variable life products, coordinating referrals to third-party money managers. The firm focuses on non-discretionary investment management and financial planning, using a combination of fundamental, technical, and cyclical analysis to guide recommendations.

Annuities General estate planning guidance

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