{ "crd_number": 164136, "slug": "legion-partners-asset-management-llc-los-angeles-ca-164136", "primary_business_name": "LEGION PARTNERS ASSET MANAGEMENT, LLC", "legal_name": "LEGION PARTNERS ASSET MANAGEMENT, LLC", "dbas": [], "city": "Los Angeles", "state": "CA", "country": "United States", "cbsa_code": "31080", "metro": { "cbsa_code": "31080", "common_name": "Los Angeles", "msa_name": "Los Angeles-Long Beach-Anaheim, CA", "path": "/advisors/ca/los-angeles" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2012-06-04", "years_registered": 14, "period": "2026-10-01", "filing_date": "2026-01-28", "carried_forward": false, "raum_total": 200916000.0, "raum_discretionary": 200916000.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 4, "advisory_employees": 3, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 200916000.0, "count": 5 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CA" ], "websites": [ "https://legionpartners.com", "https://linkedin.com/company/legion-partners-asset-management-llc" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/164136", "city_as_filed": "LOS ANGELES", "url": "https://advisorcensus.com/firm/legion-partners-asset-management-llc-los-angeles-ca-164136", "display_name": "Legion Partners Asset Management, LLC", "summary": "Legion Partners Asset Management, LLC is an SEC-registered investment advisory firm in Los Angeles, CA, registered since 2012, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated January 28, 2026.", "citation": "AdvisorCensus. Legion Partners Asset Management, LLC (CRD 164136): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Legion Partners Asset Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Legion Partners Asset Management, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Legion Partners Asset Management, LLC located?", "a": "Legion Partners Asset Management, LLC's principal office is in Los Angeles, CA, according to its Form ADV." }, { "q": "Is Legion Partners Asset Management, LLC registered with the SEC or a state?", "a": "Legion Partners Asset Management, LLC is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 164136." }, { "q": "How much does Legion Partners Asset Management, LLC manage?", "a": "Legion Partners Asset Management, LLC reports $200,916,000 in regulatory assets under management in its Form ADV filing dated January 28, 2026 (100% discretionary)." }, { "q": "How have Legion Partners Asset Management, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Legion Partners Asset Management, LLC: Regulatory assets under management: $455,622,000 in the October 2021 data and $200,916,000 in the October 2026 data, down 56%. Total employees: 7 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Legion Partners Asset Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (5)." }, { "q": "Does Legion Partners Asset Management, LLC report any disciplinary disclosures?", "a": "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/164136" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 455622000.0, "total_employees": 7, "filing_date": "2021-03-26" }, { "period": "2022-10-01", "regulatory_assets_under_management": 509035000.0, "total_employees": 7, "filing_date": "2022-03-28" }, { "period": "2023-10-01", "regulatory_assets_under_management": 335864000.0, "total_employees": 7, "filing_date": "2023-03-24" }, { "period": "2024-10-01", "regulatory_assets_under_management": 445997000.0, "total_employees": 5, "filing_date": "2024-02-02" }, { "period": "2025-10-01", "regulatory_assets_under_management": 218764000.0, "total_employees": 4, "filing_date": "2025-03-12" }, { "period": "2026-10-01", "regulatory_assets_under_management": 200916000.0, "total_employees": 4, "filing_date": "2026-01-28" } ], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/legion-partners-asset-management-llc-los-angeles-ca-164136.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 5, "fewer_than_5": false, "raum": 200916000.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/164136", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }