Legacy PCG provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers. Financial planning was provided to 11–25 clients last fiscal year.
Legacy PCG reports 71 clients. They include 38 individual clients and 33 high-net-worth individuals. Of its assets, 100.0% ($140M across 200 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 54% | 9% |
| High-net-worth individuals | 46% | 84% |
| Charitable organizations | Fewer than 5 | 6% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 38 | $13.2M | 9.5% | $348K |
| High-net-worth individuals | 33 | $118M | 84.1% | $3.56M |
| Charitable organizations | Fewer than 5 | $8.98M | 6.4% | — |
| Total | 71 | $140M | 100% | — |
- Clients
- 38
- Regulatory AUM
- $13.2M
- AUM share
- 9.5%
- Avg. per client
- $348K
- Clients
- 33
- Regulatory AUM
- $118M
- AUM share
- 84.1%
- Avg. per client
- $3.56M
- Clients
- Fewer than 5
- Regulatory AUM
- $8.98M
- AUM share
- 6.4%
- Avg. per client
- —
Total
- Clients
- 71
- Regulatory AUM
- $140M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 11–25
Legacy PCG charges 0.50%–1.00% a year for its Investment Management Services. The fee is billed in advance and is negotiable. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Financial Planning Services
- Financial planning is billed hourly or as a negotiated fixed fee, generally $1,500 to $15,000; one-half is generally due at signing.
- Retirement Plan Consulting
- Fixed project-based fee negotiated with each plan sponsor, typically 0.25% to 0.75% (25 to 75 basis points) of assets, depending on the services.
Mgo Group, LLC owns 75% or more of Legacy PCG. Roberto Roman is CEO. It has 2 employees.
Staff
- 2 employees
- 2 in advisory functions
- 2 state-registered reps
- 2 soliciting firms
- Owns 75% or more of Legacy PCG, LLC
Mgo Group, LLC
Control person · since April 2016
- Owns 10% to 25% of Legacy PCG, LLC
Roman, LLC
Control person · since May 2016
- Owns 75% or more of Roman, LLC
Roberto Roman
Control person · since September 2025
Legacy PCG’s regulatory assets fell from $271M (March 2021) to $140M (March 2026); clients fell from 278 to 71 and employees from 4 to 2.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $140M | 71 | 2 | 2 |
| Mar 2025March 2025 | $206M | 71 | 4 | 2 |
| Mar 2024March 2024 | $288M | 162 | 6 | 2 |
| Apr 2023April 2023 | $376M | 544 | 17 | 2 |
| Apr 2022April 2022 | $347M | 522 | 9 | 4 |
| Mar 2021March 2021 | $271M | 278 | 4 | 4 |
Besides its headquarters, Legacy PCG has 1 office (1 private residence, listed without an address), with 1 listed address in 1 state.
California · 1 listed address
- 888 San Clemente Drive, Suite 400, NewportHQ
Contact and registration details
- Legal name
- Legacy PCG, LLC
- Headquarters
- 888 San Clemente Drive, Suite 400, Newport, CA 92660
- Website
- legacypcg.com
- Phone
- 646-884-7467
- SEC file
- 801-108057
- Structure
- Delaware LLC
- Fiscal year end
- December
Legacy PCG’s named custodians for separately managed accounts are Charles Schwab ($117M, 84%) and Fidelity ($22.8M, 16%). Legacy PCG has custody of $414K for 1 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $117M84%
- FidelityFidelity Brokerage Services LLC · Smithfield, RI · $22.8M16%
At year end, Legacy PCG’s separately managed accounts were mostly in stocks (85%).
What the accounts hold
- Stocks85%
- Bonds8%
- State and local bonds6%
- U.S. government and agency bonds1%
- Investment grade corporate bonds1%
- Cash7%
How many clients does Legacy PCG have?
Legacy PCG has 71 clients and manages $140 million for them, as of March 2026. They include 38 individual clients and 33 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 23 March 2026
What services does Legacy PCG offer?
Legacy PCG provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Legacy PCG charge?
Legacy PCG charges 0.50%–1.00% a year for its Investment Management Services. The fee is billed in advance and is negotiable.
Which custodians does Legacy PCG use?
Legacy PCG’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $117M and Fidelity Brokerage Services LLC (Smithfield, RI), with $22.8M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 March 2026
How many financial advisors does Legacy PCG have?
Legacy PCG has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Legacy PCG invest in?
At the end of its last fiscal year, Legacy PCG’s separately managed accounts held 85% exchange-traded equities, 7% cash and equivalents, 6% state and local bonds, 1% U.S. government and agency bonds and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Legacy PCG?
Legacy PCG is owned through a holding company by Roberto Roman. Its direct owners are Roman, LLC (10% to 25%) and Mgo Group, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 23 March 2026
How does Legacy PCG get paid?
Legacy PCG is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Legacy PCG?
Legacy PCG’s main office is at 888 San Clemente Drive, Suite 400, Newport, CA 92660. Its phone number is 646-884-7467. Its website is legacypcg.com.