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LEGEND CAPITAL

· CRD 336029 · IAPD ↗ · legendcap.com · (212) 606-2326

$250.5MRegulatory AUM
1Advisory reps
3Employees
0Clients
1-10Planning clients
2Private funds
6States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
April 2026 — LEGEND CAPITAL notice-filed in NJ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
April 2026 — LEGEND CAPITAL shrank from 3 to 1 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
65
April 2026 — LEGEND CAPITAL now reports custody of client assets ($240.3M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
April 2026 — LEGEND CAPITAL now reports 2 private fund(s) ($400,000 gross).
Firm reports private funds for the first time.
Fund administrationCompliance
75
April 2026 — LEGEND CAPITAL now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
48
August 2025 — LEGEND CAPITAL notice-filed in CA, FL, NC, OR.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
July 2025 — LEGEND CAPITAL (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.