LEGADO WEALTH MANAGEMENT LLC
Adviser information for LEGADO WEALTH MANAGEMENT LLC last updated from Form ADV on March 30th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2 | $14.7M |
| Non-Discretionary | 76 | $1.6M |
| Total | 78 | $16.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 13 | $2.5M |
| HNW Individuals | 37 | $13.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 50 |
| No. of Non-U.S. Clients | 49 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agentCOMPLIANCE, INVESTOR RELATIONS, BUSINESS CONSULTIN |
Identifiers
| SEC RIA File Number | 801-122329 |
|---|---|
| SEC ERA File Number | 801-122329 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 305263 |
| Legal Entity Identifier | None |
Principal Office
405 LEXINGTON AVENUE, 9TH FLOORNEW YORK
NY
United States
Monday - Friday, 9-5
Tel: 212-697-3420, Fax: None
Websites
Chief Compliance Officer
OSCAR FLORES DE VALGAZ
405 LEXINGTON AVENUE, 9TH FLOOR
NEW YORK
NY
United States
Tel:
(212) 697-3420
C*********@***************M
(Full email address available in API data)
Regulatory Contact
ESDRAS VERA
FINSERV COMPLIANCE, LLC
1395 BRICKELL AVE
8TH FLOOR
MIAMI
FL
United States
Tel:
609-216-4622
E****@********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FLORES DE VALGAZ, OSCAR, DAVID | Individual | – | MANAGING MEMBER/CCO | 07/2019 | > 75% |