{"url":"https://nivawealth.com/firms/legacy-pcg-283909","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/283909","regulatoryAum":139763641,"crd":"283909","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7151241","suffix":null,"lastName":"BLOUT","firstName":"CASEY","middleName":"KELLY"},{"crd":"4609381","suffix":null,"lastName":"ROMAN","firstName":"ROBERTO","middleName":null}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-16","regulatoryAum":270819238,"clients":278,"employees":4,"offices":4},{"filedOn":"2022-04-07","regulatoryAum":347334516,"clients":522,"employees":9,"offices":4},{"filedOn":"2023-04-25","regulatoryAum":375624881,"clients":544,"employees":17,"offices":2},{"filedOn":"2024-03-21","regulatoryAum":287522130,"clients":162,"employees":6,"offices":2},{"filedOn":"2025-03-06","regulatoryAum":206197659,"clients":71,"employees":4,"offices":2},{"filedOn":"2026-03-23","regulatoryAum":139763641,"clients":71,"employees":2,"offices":2}],"secFileNumber":"801-108057","legalName":"Legacy PCG, LLC","displayName":"Legacy PCG","slug":"legacy-pcg-283909","website":"https://legacypcg.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"888 San Clemente Drive, Suite 400","city":"Newport","state":"CA","stateName":"California","country":"United States","postalCode":"92660"},"tradeNames":[],"registration":{"secApproved":"6 July 2016","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1842079.338028169,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":2},"aum":{"regulatory":139763641,"discretionary":139763641,"discretionaryAccounts":200,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":38,"regulatoryAum":13214852},{"label":"High-net-worth individuals","clients":33,"regulatoryAum":117572781},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":8976008}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023569","versionId":1023569,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-23","documentName":"LEGACY PCG, LLC ADV PART 2A","fee_rate_low":0.5,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning Services","summary":"Financial planning is billed hourly or as a negotiated fixed fee, generally $1,500 to $15,000; one-half is generally due at signing.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023569","versionId":1023569,"submittedOn":"2026-03-23","documentName":"LEGACY PCG, LLC ADV PART 2A"},{"role":"other","program":"Retirement Plan Consulting","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023569","versionId":1023569,"submittedOn":"2026-03-23","documentName":"LEGACY PCG, LLC ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:27:58.888622+00:00","documents":[{"name":"LEGACY PCG, LLC ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023569","versionId":1023569,"submittedOn":"2026-03-23"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":116944146},{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":22819495}],"custodyNote":"Legacy PCG has custody of $414K for 1 clients.","otherCustodians":[],"leadership":[{"name":"Roberto Roman","title":"Chief Executive Officer, Chief Compliance Officer","crd":"4609381"}],"ownership":[{"label":"Roman, LLC","detail":"Member in the 10% to 25% ownership band and a control person, since May 2016."},{"label":"Mgo Group, LLC","detail":"Managing member in the 75% or more ownership band and a control person, since April 2016."},{"label":"Roberto Roman","detail":"Indirect owner: a managing member of Roman, LLC in the 75% or more band and a control person, since September 2025.","parent":"Roman, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"888 San Clemente Drive, Suite 400","city":"Newport","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"646-884-7467","stateRegisteredReps":2,"otherAdviserReps":2,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":85},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":6},{"label":"Investment grade corporate bonds","percent":1},{"label":"Cash and cash equivalents","percent":7}],"privateFunds":0},"sources":{"adv1FilingDate":"23 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/283909/PDF/283909.pdf","brochureDate":"23 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023569","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Legacy PCG have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Legacy PCG offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Legacy PCG charge?","answer":"Legacy PCG charges 0.50%–1.00% a year for its Investment Management Services. The fee is billed in advance and is negotiable.","source":"LEGACY PCG, LLC ADV PART 2A, filed 23 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Legacy PCG use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Legacy PCG have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Legacy PCG invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Legacy PCG?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Legacy PCG get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Legacy PCG?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}