LEGEND FINANCIAL ADVISORS INC
Adviser information for LEGEND FINANCIAL ADVISORS INC last updated from Form ADV on March 26th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Pennsylvania, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 1,076 | $308.5M |
| Non-Discretionary | 0 | $0 |
| Total | 1,076 | $308.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 112 | $54.8M |
| HNW Individuals | 101 | $245.7M |
| 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 | <5 | $7.9M |
| Charitable organizations | <5 | $132,289 |
| 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 | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-44704 |
|---|---|
| SEC ERA File Number | 801-44704 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108207 |
| Legal Entity Identifier | None |
Principal Office
5700 CORPORATE DRIVESUITE 350
PITTSBURGH
PA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 412-635-9210, Fax: 412-635-9213
Chief Compliance Officer
JAMES J. HOLTZMAN
CEO, PRESIDENT AND WEALTH ADVISOR
5700 CORPORATE DRIVE
SUITE 350
PITTSBURGH
PA
United States
Tel:
(412) 635-9210
Fax:
(412) 635-9213
L*****@*******************M
(Full email address available in API data)
Industry Affiliates
| EMERGINGWEALTH INVESTMENT MANAGEMENT, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HOLTZMAN, JAMES, JUDE | Individual | – | CEO, PRESIDENT, CCO AND WEALTH ADVISOR | 02/2022 | 50-75% |
| Kail, Christopher, J | Individual | – | OWNER AND DIRECTOR OF MARKETING | 05/2001 | 50-75% |