Legend Capital
Registered investment adviser · CRD #336029
Form ADV data as of 2026-09-01Regulatory assets
$250.5 million
Total accounts
114
Employees
3
Disclosure events
0
Firm details
- Website: https://legendcap.com/
- Telephone: (212) 606-2326
- SEC file number: 801-132909
- Most recent Form ADV filing: 2026-07-27
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $250.5 million |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $250.5 million |
| Discretionary accounts | 114 |
| Non-discretionary accounts | 0 |
| Total accounts | 114 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 3 |
| Employees performing investment advisory functions (including research) | 1 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 1 |
| Employees registered as IARs for another investment adviser | 1 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $242.2 million |
| Clients for whom the firm has custody | 111 |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $8.3 million |
| Clients for whom a related person has custody | 3 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends brokers or dealers to clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| High net worth individuals | 83 | $85.9 million |
| Pooled investment vehicles (other than investment companies and BDCs) | 12 | $150.7 million |
| Charitable organizations | 1 | $118,646 |
| Corporations or other businesses not listed above | 18 | $13.7 million |