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Legend Merchant Group, Inc. (New York)


Legend Merchant Group, Inc. is an adviser based in New York. It manages $10.99 million of regulatory assets for 5 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdiction of California.

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Legend Merchant Group provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Legend Merchant Group: assets under management

The assets under management (AUM) of Legend Merchant Group, Inc. is $10.99 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -63% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $10.99 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.2 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Legend Merchant Group, Inc. for their services and products based on a percentage of assets under management, commissions, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 7 indirect owners.

Name Entity Date acquired Ownership Employer ID
David Woods Jr Unsworth Shareholder 1 Jul 2002 25% - 50% 1609040
Rachel M Rabinowitz Shareholder 1 Aug 2003 75% - 100% xxx-xx-xxxx
Estate Of Isaac Rabinowitz Shareholder 1 Nov 2003 25% - 50% 12-8303240
Scott Louis Ilario Shareholder 1 Dec 2009 Other 2086073
Jag Multi Investments Llc Shareholder 1 Dec 2009 Other 37-1508758
Samuel F Ottensoser Shareholder 1 Dec 2009 Other 4917781
Thomas Joseph Gallagher Shareholder 1 Dec 2009 Other 2726223

Based in New York

The principal office where Legend Merchant Group, Inc. performs its advisory services is located at 30 Broad Street, 38 Th Floor, New York, NY 10004, which is also the mailing address of the firm. An additional office of the firm is in San Francisco, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-809-5568 or by fax 212-809-5567. The normal business hours are 0700-1800 on Monday - Friday. You can find more information about the New York firm at www.legendmerchant.com.


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