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:
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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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