Legion Capital Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
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
San Diego CA
Advisors at this office
1
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
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
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)