SourcingSourcing

LEGION PARTNERS ASSET MANAGEMENT, LLC

B53
CRD 164136·SEC 801-76750·LOS ANGELES, CA
AUM
$200.9M
$100M-$500M
Est. Revenue
$2.0M
@ 1% on AUM
Est. EBITDA
$603K
@ 30% margin
Est. Deal Value
$4.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
LEGION PARTNERS ASSET MANAGEMENT, LLC
CRD
164136
SEC file #
801-76750
EIN
—
DBA names
—

Economics

AUM
$200.9M
AUM band
$100M-$500M
AUM trajectory
'20'26
$377.1M → $200.9M▼ -47%
Client mix
Pooled Investment Vehicles5

Operations

Employees (total)
4
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
5 advisors → 3 advisors▼ -40%
Primary office
LOS ANGELES CA
Branches
—

Custodian & Brokerage

Primary custodian
Wells Fargolow confidence
Services offered
Portfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMPerformance-based fees

Filings

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
LEGION PARTNERS HOLDINGS,
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
4
Control Persons
LEGION PARTNERS HOLDINGS,
KATZ, DAVID, ALAN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:legionasset.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (8)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Wells Fargo15
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No

People (3)

3
KIPER, CHRISTOPHER, SEAN
IAR · Executive Officer · 2.5%
5798843
KATZ, DAVID, ALAN
IAR · Executive Officer · 2.5%
3253961
WHITE, RAYMOND, THEODORE
IAR · Executive Officer · 2.5%
5360420