Legion Partners Asset Management, LLC (Beverly Hills)

Name: Legion Partners Asset Management, LLC
Address: 9401 Wilshire Blvd, Beverly Hills, CA, 90212
Telephone: 424-253-1774

Legion Partners Asset Management, LLC is a large advisory firm based in Beverly Hills. It manages $377.1 million of regulatory assets for 6 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of California.

Legion Partners Asset Management provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Legion Partners Asset Management: assets under management

The assets under management (AUM) of Legion Partners Asset Management, LLC is $377.1 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 46% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $377.1 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $62.85 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Legion Partners Asset Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Legion Partners Asset Management serves?

The only and largest group of clients of Legion Partners Asset Management is pooled investment vehicles with 6 clients and $377.1 million of assets under management. Among the 12 most similar advisory firms, Legion Partners Asset Management has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $377.1 million for 6 clients. None of the firm’s clients are foreign persons or businesses.

Legion Partners Asset Management also advises several private funds. Namely, six hedge funds. The minimum investment commitment required of non-related persons ranges from $35,000 to $3,000,000.

Careers at Legion Partners Asset Management, LLC

The company employs 6 people that are either part- or full-time employees. 83 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There are 3 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Raymond Theodore White	Partner, member of investment and management committee, chief compliance officer	1 Apr 2012	Other	5360420
Christopher Sean Kiper	Partner, member of investment and management committee	1 Apr 2012	Other	5798843
Bradley Scott Vizi	Partner, member of investment and management committee	1 Apr 2012	Other	5798934
Llc Legion Partners Holdings	Member	1 Apr 2012	75% - 100%	45-5087941
Patricia Anderson Burgess	Chief compliance officer and general counsel	1 Apr 2012	Other	5307612
John Robert Alterio	Chief financial officer	1 Jun 2012	Other	2687070
Raymond Theodore White	Partner, member of investment and management committee, chief compliance officer	1 Dec 2013	Other	5360420
David Alan Katz	Chief operating officer	1 Jan 2014	Other	3253961

Based in Beverly Hills

The principal office where Legion Partners Asset Management, LLC performs its advisory services is located at 9401 Wilshire Blvd, Beverly Hills, CA 90212, which is also the mailing address of the firm. An additional office of the firm is in Shingle Springs, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 424-253-1774. The normal business hours are 8:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at legionpartners.com.