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Legion Capital Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$31,800,000
Clients
27
78% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
27
TypicalAverage account size
$1,177,778
About
Legion Capital Management, LLC is a California-registered independent investment adviser serving individual investors and family trusts, with a particular focus on retirement-plan participants in 401(k) plans, IRAs and self-directed retirement accounts. The firm provides both discretionary and non-discretionary portfolio management and retirement-plan advice, and allows clients to impose restrictions on the types of securities held in their accounts.
The firm’s investment approach combines technical research from Nasdaq/Dorsey Wright and a point-and-figure methodology with stock-level fundamental analysis, using an adaptive asset-allocation model to manage market cycles and downside risk. Its stated objectives prioritize principal preservation with secondary emphasis on growth, and accounts are reviewed on a continuous basis with trading driven by changes in technical market prospects.
As a small, solo advisory practice overseeing a modest asset base, the firm emphasizes individualized strategies and daily oversight by the principal, who brings multiple decades of market experience. The adviser operates on a fee-only, percentage-of-assets basis, recommends a custodial platform to support execution and reporting, and does not charge performance-based fees.
Client services
Portfolio management
Expertise
Retirement plans for business owners (SEP, solo 401k)
Active portfolio management
Fee options
$0 - $250,000: 1.0% $250,000+: 0.5%
Account minimum: $250,000 Minimum fee: Annual fixed fees may range from $500 and above Fee-only: Annual fixed fees starting at $500
Main office location
Legion Capital Management, LLC
San Diego CA, United States
Number of offices
1
Most active in
Legion Capital Management, LLC has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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