Legacy Pcg, Llc
- Regulatory AUM
- $140M
- Discretionary
- $140M
- Clients
- 71
- Avg AUM / client
- $2.0M
- Accounts
- 200
- Employees
- 2
AUM over time
Annual snapshots from Form ADV filings · as of Mar 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 38 | $13.2M | 9.46% |
| High net worth individuals | 33 | $118M | 84.1% |
| Charitable organizations | Fewer than 5 clients | $9.0M | 6.42% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| O'connell, Kevin, James | Member | Apr 2016 (10y) | ≈ 18.75% – 50% via Mgo Group, Llc | |
| Roberto Roman | Chief Executive Officer | May 2016 (10y) | Less than 5% | |
| Pon, Cynthia | Chief Financial Officer | Sep 2016 (10y) | Less than 5% | |
| Young, Charles, Chi | Chief Compliance Officer | Jul 2023 (3y) | Less than 5% | |
| Casey Kelly Blout | Registered representative | May 2023 (3y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Mgo Group, Llc | Managing Member | Apr 2016 | A | 75% or more |
| Roman, Llc | Member | May 2016 | A | 10% – 25% |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- O'connell, Kevin, James: 25% – 50% of Mgo Group, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/23/2026 | 964 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $117M (84% of AUM) Mar 2026
- Fidelity Investments $51.6M (42% of AUM) Mar 2019
- National Financial Services (Fidelity) $38.6M (36% of AUM) Feb 2018
- Fidelity Brokerage Services $22.8M (16% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 23, 2026.
View current Form ADV (SEC/IAPD) ↗