Asset manager · LOS Gatos, CA
Legacy Capital Group California, Inc.
SEC-registered investment adviser · CRD 111436 · SEC 801-69566
At a glance
Legacy Capital Group California, Inc. is an SEC-registered investment adviser based in LOS Gatos, California, with $536 million in regulatory assets under management as of its Form ADV filed April 22, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 155 individual clients. By Form ADV it is a asset manager, ranked 1,646th of 3,218 asset managers and 7,550th of 17,210 SEC-registered advisers by assets.
Main office 408-399-6330lcgca.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $536M
- Rank among asset managers
- #1,646 of 3,218
- Rank among all SEC RIAs
- #7,550 of 17,210
- Rank in California
- #875 of 1,873
- Individual clients
- 155
- High-net-worth clients
- 155
- Accounts
- 1,763
- Discretionary
- 100% of AUM
- Employees
- 17
- Advisory staff
- 3
- Offices
- 2
Owners and executives on its Form ADV
- Richard E. BaerChairman of the Board
- Brent C. BungerPresident
- Andrew M. BaughCFO & CIO
- Kim A. LawsonCOO
- Lonny S. ElfenbeinChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Legacy Capital Group California, Inc. is a hybrid RIA: 5 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed April 2026) names Integrity Alliance as the broker-dealer its advisers are registered with.
Richard Baer, Brent Bunger and Legacy Capital Group California hereby inform clients they are registered with Integrity Alliance , LLC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 155 | $204M | 38% |
| Corporations or other businesses | 26 | $203M | 38% |
| Pension and profit sharing plans | 30 | $79M | 15% |
| Charitable organizations | 17 | $37M | 7% |
| Pooled investment vehicles | 3 | $12M | 2% |
Disciplinary disclosures
Legacy Capital Group California, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
- Commissions
- Other
Form ADV and brochures on the SEC’s adviser search ↗lcgca.com ↗
AtlasMembers
The full record on Legacy Capital Group California, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 1,019 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Legacy Capital Group California, Inc. manage?
Legacy Capital Group California, Inc. reports $536 million in regulatory assets under management across 1,763 accounts, 100% of it on a discretionary basis, on its Form ADV filed April 22, 2026.
What kind of firm is Legacy Capital Group California, Inc.?
Legacy Capital Group California, Inc. is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Legacy Capital Group California, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($204 million, 155 clients); corporations or other businesses ($203 million, 26 clients); pension and profit sharing plans ($79 million, 30 clients).
Does Legacy Capital Group California, Inc. have any disciplinary history?
Legacy Capital Group California, Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Legacy Capital Group California, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-22), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →