LEGACY ASSET MANAGEMENT, INC.
Adviser information for LEGACY ASSET MANAGEMENT, INC. last updated from Form ADV on February 23rd, 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 | Texas, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 450 | $141.5M |
| Non-Discretionary | 72 | $20.2M |
| Total | 522 | $161.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 144 | $37.3M |
| HNW Individuals | 36 | $111.3M |
| 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 | 14 | $9.8M |
| Charitable organizations | 5 | $3.4M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-57208 |
|---|---|
| SEC ERA File Number | 801-57208 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111423 |
| Legal Entity Identifier | None |
Principal Office
3411 RICHMOND AVESUITE 750
HOUSTON
TX
United States
Monday - Friday, 8:00AM 0 5:00 PM
Tel: 713-355-7171, Fax: 713-355-7444
Chief Compliance Officer
JOSEPH BIRKOFER
PRESIDENT/SECRETARY/CHIEF COMPLIANCE OFFICER
3411 RICHMOND AVE
SUITE 750
HOUSTON
TX
United States
Tel:
713-355-7171
Fax:
713-355-7444
J********@**************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 |
|---|---|---|---|---|---|
| BIRKOFER, JOSEPH, RICHARD | Individual | – | PRESIDENT/SECRETARY/CHIEF COMPLIANCE OFFICER | 06/1998 | > 75% |