Legacy Capital Group California, Inc. (Los Gatos)

Name: Legacy Capital Group California, Inc.
Address: 459 Monterey Avenue, Los Gatos, CA, 95030
Telephone: 408-399-6330

Legacy Capital Group California, Inc. is a large advisory firm based in Los Gatos. It manages $317.56 million of regulatory assets for 1,411 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdiction of California.

Legacy Capital Group California provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers, and educational seminars and workshops. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Legacy Capital Group California: assets under management

The assets under management (AUM) of Legacy Capital Group California, Inc. is $317.56 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $317.56 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $225.06 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 33% of the total AUM. The second-largest asset type is non-exchange traded securities, which make up 30% of the firm’s portfolio. Investments in cash and cash equivalents form 20% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Legacy Capital Group California, Inc. for their services and products based on a percentage of assets under management, fixed fees, and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Brent Charles Bunger serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Brent Charles Bunger is high net worth individuals with 23 clients and $288.98 million of assets under management. Among the 10 most similar advisory firms, Legacy Capital Group California has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $317.56 million for 187 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Legacy Capital Group California doesn't advise any private funds.

Careers at Legacy Capital Group California, Inc.

The company employs 14 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There are 3 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Brent Charles Bunger has been acting as President since 1 Dec 1992. Kim Ann Lawson joined the executive team most recently as the Coo.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Richard Evan Baer	Chairman of the board	1 Apr 1980	25% - 50%	848798
Brent Charles Bunger	President	1 Dec 1992	25% - 50%	1488149
Andrew Michael Baugh	Cio, chief compliance officer	1 Feb 2004	Other	2621445
Kim Ann Lawson	Coo	1 Nov 2007	Other	2190770

Based in Los Gatos

The principal office where Legacy Capital Group California, Inc. performs its advisory services is located at 459 Monterey Avenue, Los Gatos, CA 95030, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 408-399-6330 or by fax 408-399-6333. The normal business hours are 8am - 5pm on Monday - Friday. You can find more information about the New York firm at lcgca.com.