LEGACY CAPITAL GROUP CALIFORNIA, INC.

Advisory Business

Type of Organization	Corporation
Fiscal Year End	FEBRUARY
Legal Location	California, United States

Employees

Total Number of Employees	14
Investment Advisory/Research	4
Registered Broker-Dealer Representatives	6
Registered State Investment Advisers	3
Licensed Agents of an Insurance Company	10
No. of Firms/People that Solicit Clients	1

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	1,867	$424.1M
Non-Discretionary	0	$0
Total	1,867	$424.1M

Clients

Type	Number	RAUM
Individuals	102	$13.5M
HNW Individuals	137	$409.8M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	2	$868,329
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	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 pooled investment vehiclesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation	% of AUMFixed feesCommissionsREFERRAL FEES
Other Business Activities	Registered representative of a broker-dealerInsurance broker or agent

Identifiers

SEC RIA File Number	801-69566
SEC ERA File Number	801-69566
SEC CIK Numbers	1977092
SEC CRD Numbers	111436
Legal Entity Identifier	None

Principal Office

459 MONTEREY AVENUE
SUITE 100
LOS GATOS
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic