LEGION PARTNERS ASSET MANAGEMENT, LLC
Adviser information for LEGION PARTNERS ASSET MANAGEMENT, LLC last updated from Form ADV on February 2nd, 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 | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 6 | $446.0M |
| Non-Discretionary | 0 | $0 |
| Total | 6 | $446.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 6 | $446.0M |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
12121 WILSHIRE BLVDSUITE 1240
LOS ANGELES
CA
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 424-253-1774, Fax: None
Chief Compliance Officer
RAYMOND T. WHITE
PARTNER, MEMBER OF INVESTMENT COMMITTEE, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR
12121 WILSHIRE BLVD
SUITE 1240
LOS ANGELES
CA
United States
Tel:
530-677-5420
T*****@*****************M
(Full email address available in API data)
Regulatory Contact
DAVID KATZ
CHIEF OPERATING OFFICER
12121 WILSHIRE BLVD
SUITE 1240
LOS ANGELES
CA
United States
Tel:
424-253-1774
D****@*****************M
(Full email address available in API data)
Industry Affiliates
| LEGION PARTNERS, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| LEGION PARTNERS SPECIAL OPPORTUNITIES, LP XI | Hedge Fund | $3.5M | $0.1M | 27 |
| LEGION PARTNERS SPECIAL OPPORTUNITIES, LP XIV | Hedge Fund | $3.6M | $0.1M | 13 |
| LEGION PARTNERS SPECIAL OPPORTUNITIES, LP XVI | Hedge Fund | $3.8M | $0.1M | 23 |
| LEGION PARTNERS, L.P. I | Hedge Fund | $401.3M | $3.0M | 2 |
| LEGION PARTNERS, L.P. II | Hedge Fund | $33.8M | $0.1M | 40 |
| LEGION PARTNERSHIP SPECIAL OPPORTUNITIES, L.P. I | Hedge Fund | $0.0M | $3.0M | 0 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WHITE, RAYMOND, THEODORE | Individual | – | PARTNER, MEMBER OF INVESTMENT AND MANAGEMENT COMMITTEE, CHIEF COMPLIANCE OFFICER | 04/2012 | < 5% |
| KIPER, CHRISTOPHER, SEAN | Individual | – | PARTNER, MEMBER OF INVESTMENT AND MANAGEMENT COMMITTEE | 04/2012 | < 5% |
| LEGION PARTNERS HOLDINGS, LLC | Domestic Entity | – | MEMBER | 04/2012 | > 75% |
| WHITE, RAYMOND, THEODORE | Individual | LEGION PARTNERS HOLDINGS, LLC | MEMBER | 04/2012 | 25-50% |
| KIPER, CHRISTOPHER, SEAN | Individual | LEGION PARTNERS HOLDINGS, LLC | MEMBER | 04/2012 | 25-50% |
| VIZI, BRADLEY, SCOTT | Individual | LEGION PARTNERS HOLDINGS, LLC | MEMBER | 04/2012 | 25-50% |
| KATZ, DAVID, ALAN | Individual | – | CHIEF OPERATING OFFICER | 01/2014 | < 5% |