Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
46 advisors
Number of Clients
2,121 clients
Average Client Portfolio
$225K average
Assets Under Management
$476.5M

Fee Structure

Financial Plan Fee:$0 - $25,000

Legacy's fees for portfolio management are negotiable and range from 0.0% to 2.50% of assets under management. Fees are billed quarterly in advance or monthly in arrears. Financial consulting fees are fixed and up to $25,000 per year, depending on the scope and complexity of services. The firm may also charge a 0.50% fee on Illiquid Direct Participation Program (DPP) Investments. Performance-based fees are negotiable up to 20% of growth for qualified clients.

Areas of Practice
Investment ManagementFinancial Planning & Coaching
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Advisor Information

Office location

1388 Ala Moana Blvd., #1704, Honolulu, HI, 96814

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Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
June 1991
Final Disposition
Other Business Activities

James has a personal law practice.

Employment History
Current Registrations
Legacy Wealth Management, LLC
January 2019 - Present · 7 yrs
Previous Registrations
Omni Brokerage, INC.Broker
April 2004 - December 2004 · 8 mos
Berthel, Fisher & Company Financial Services, INC. Broker
February 2004 - April 2004 · 2 mos
State Registrations1 state
HI
Advisor
Exams
No exam information available for this advisor.