LEGION PARTNERS ASSET MANAGEMENT, LLC
Latest filing: Mar 12, 2025 (126 days ago)
AUM
$218,764,000
-51% change vs. 1 year ago
-57% change vs. 3 years ago
-44% change vs. 5 years ago
149% change vs. 10 years ago
Employee Count
4
-20% change vs. 1 year ago
-43% change vs. 3 years ago
-33% change vs. 5 years ago
-20% change vs. 10 years ago
Main Office
LOS ANGELES, CA
12121 WILSHIRE BLVD, LOS ANGELES, CA, UNITED STATES, 90025
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.2 |
| Non-Discretionary | $0.0 |
| Total | $0.2 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $0.2 |
| Institutional | $0.0 |
| Total | $0.2 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.0 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 0% | $0.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| LEGION PARTNERS, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
7 active
| Name | Title |
|---|---|
| WHITE, RAYMOND, THEODORE | PARTNER, MEMBER OF INVESTMENT AND MANAGEMENT COMMITTEE, CHIEF COMPLIANCE OFFICER, MEMBER |
| KIPER, CHRISTOPHER, SEAN | PARTNER, MEMBER OF INVESTMENT AND MANAGEMENT COMMITTEE, MEMBER |
| VIZI, BRADLEY, SCOTT | MEMBER |
| KATZ, DAVID, ALAN | CHIEF OPERATING OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
3 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| RAYMOND WHITE | LOS ANGELES | CA | S65|2011-09-06 | ||||||
| CHRISTOPHER KIPER | LOS ANGELES | CA | S63|2011-06-17|S65|2010-06-17 | ||||||
| DAVID KATZ | LOS ANGELES | CA | S63|2001-01-18|S65|2010-01-25 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $0.2 | $0.0 | 0% | 4 | 0 | 0% |
| 2025-04-21 | $0.2 | $0.0 | 0% | 4 | 0 | 0% |
| 2024-04-02 | $0.4 | -$0.2 | -51% | 5 | -1 | -20% |
| 2023-04-04 | $0.3 | -$0.1 | -35% | 7 | -3 | -43% |
| 2022-04-01 | $0.5 | -$0.3 | -57% | 7 | -3 | -43% |
| 2021-04-05 | $0.5 | -$0.2 | -52% | 7 | -3 | -43% |
| 2020-04-01 | $0.4 | -$0.2 | -44% | 6 | -2 | -33% |
| 2019-04-01 | $0.4 | -$0.2 | -42% | 6 | -2 | -33% |
| 2018-04-02 | $0.3 | -$0.1 | -35% | 6 | -2 | -33% |
| 2017-04-01 | $0.2 | $0.1 | 30% | 5 | -1 | -20% |
| 2016-04-01 | $0.2 | $0.0 | -5% | 5 | -1 | -20% |
| 2015-04-01 | $0.1 | $0.1 | 149% | 5 | -1 | -20% |
| 2014-04-01 | $0.3 | $0.0 | -15% | 5 | -1 | -20% |
| 2013-04-01 | $0.3 | $0.0 | -15% | 5 | -1 | -20% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CA, CA-06/04/2012 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV