# Legacy Capital Group California, Inc.

> Legacy Capital Group California, Inc. is an SEC-registered investment advisory firm in Los Gatos, CA, registered since 2008, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated April 22, 2026.

- CRD: 111436
- Filed as: LEGACY CAPITAL GROUP CALIFORNIA, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Los Gatos, CA
- Filing period: October 2026
- Form ADV filing dated: April 22, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/111436
- AdvisorCensus page: https://advisorcensus.com/firm/legacy-capital-group-california-inc-los-gatos-ca-111436

## Quick answers

**How is Legacy Capital Group California, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Legacy Capital Group California, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); commissions; other. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Legacy Capital Group California, Inc. located?**
Legacy Capital Group California, Inc.'s principal office is in Los Gatos, CA, according to its Form ADV.

**Is Legacy Capital Group California, Inc. registered with the SEC or a state?**
Legacy Capital Group California, Inc. is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 111436.

**How much does Legacy Capital Group California, Inc. manage?**
Legacy Capital Group California, Inc. reports $535,737,470 in regulatory assets under management in its Form ADV filing dated April 22, 2026 (100% discretionary).

**How have Legacy Capital Group California, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Legacy Capital Group California, Inc.: Regulatory assets under management: $345,076,361 in the October 2021 data and $535,737,470 in the October 2026 data, up 55%. Total employees: 14 in October 2021 and 17 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Legacy Capital Group California, Inc. serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (155); pension and profit sharing plans (but not the plan participants or government pension plans) (30); corporations or other businesses not listed above (26).

**Which custodians does Legacy Capital Group California, Inc. use?**
Legacy Capital Group California, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Legacy Capital Group California, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/111436

**What changed in Legacy Capital Group California, Inc.'s recent Form ADV filings?**
In the May 2026 filing data: Employees performing advisory functions went from 4 to 3. Regulatory assets under management went from $608,388,867 to $535,737,470 (-12%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Other

### Custodians (Schedule D, Section 5.K(3))
- Fidelity Brokerage Services LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $535,737,470
- Discretionary: $535,737,470
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | $0 |
| High net worth individuals | 155 | $204,454,791 |
| Pooled investment vehicles (other than investment companies and business development companies) | 3 | $11,596,531 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 30 | $79,376,187 |
| Charitable organizations | 17 | $37,352,593 |
| Corporations or other businesses not listed above | 26 | $202,957,368 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops

### Firm details
- Registered since: 2008 (18 years)
- Employees: 17 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AR, AZ, CA, CO, FL, IN, TX, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [lcgca.com](https://lcgca.com)
- LinkedIn @legacy-capital-group-california-b6a6b2147

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $345,076,361 | 14 | May 10, 2021 |
| October 2022 | $455,215,390 | 14 | June 1, 2022 |
| October 2023 | $424,110,455 | 14 | August 23, 2023 |
| October 2024 | $444,003,481 | 18 | April 16, 2024 |
| October 2025 | $608,388,867 | 18 | April 17, 2025 |
| October 2026 | $535,737,470 | 17 | April 22, 2026 |

Regulatory assets under management: $345,076,361 in the October 2021 data and $535,737,470 in the October 2026 data, up 55%.
Total employees: 14 in October 2021 and 17 in October 2026.

## Changes in the filing (last 12 months)

### May 2026
- Employees performing advisory functions went from 4 to 3.
- Regulatory assets under management went from $608,388,867 to $535,737,470 (-12%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Legacy Capital Group California, Inc. (CRD 111436): Form ADV filing data as of October 2026.