Investment adviser · CRD 164136

LEGION PARTNERS ASSET MANAGEMENT, LLC

Investment adviser filing (IA)

LOS ANGELES, CA, United States · Form ADV filed Jan 28, 2026

Regulatory AUM
$201M
Form ADV · Item 5.F
Client accounts
5
Accounts, not individual clients
Employees
4
Reported in this filing
Advisory professionals
3
Investment advisory functions

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client typeClientsRegulatory assetsShare of AUM
Pooled investment vehicles5$200,916,000100.0%
Filing source

Form ADV 2043973 · Jan 28, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

19 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

LEGION PARTNERS, L.P. IHedge Fund · Last reported Jan 28, 2026$173MGross asset value

Form D fundraising filings

Legion Partners, L.P. I

Fund administrator SS&C ALPS WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP COSTA MESA, California, United States
Custodian WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States Related to adviser: No
Prime broker WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

DELOITTE & TOUCHE LLP
PCAOB 34

WELLS FARGO SECURITIES, LLC
SEC 8-65876

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Fund details & source
Fund ID
805-6403563444
Reported beneficial owners
2
Minimum commitment
$3M
Form D file number
021-209391

Form ADV 2043973 · Jan 28, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LEGION PARTNERS, L.P. IIHedge Fund · Last reported Jan 28, 2026$19.7MGross asset value

Form D fundraising filings

Legion Partners, L.P. II

Fund administrator SS&C ALPS WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP COSTA MESA, California, United States
Custodian WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States Related to adviser: No
Prime broker WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

DELOITTE & TOUCHE LLP
PCAOB 34

WELLS FARGO SECURITIES, LLC
SEC 8-65876

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Fund details & source
Fund ID
805-7738884682
Reported beneficial owners
38
Minimum commitment
$50K
Form D file number
021-224526

Form ADV 2043973 · Jan 28, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LEGION PARTNERS SPECIAL OPPORTUNITIES, LP XVIHedge Fund · Last reported Jan 28, 2026$4.59MGross asset value

Form D fundraising filings

Legion Partners Special Opportunities, L.P. XVI

Fund administrator SS&C ALPS WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP COSTA MESA, California, United States
Custodian WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States Related to adviser: No
Prime broker WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

DELOITTE & TOUCHE LLP
PCAOB 34

WELLS FARGO SECURITIES, LLC
SEC 8-65876

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Fund details & source
Fund ID
805-1504100300
Reported beneficial owners
23
Minimum commitment
$50K
Form D file number
021-398186

Form ADV 2043973 · Jan 28, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LEGION PARTNERS SPECIAL OPPORTUNITIES, LP XIVHedge Fund · Last reported Jan 28, 2026$2.45MGross asset value

Form D fundraising filings

Legion Partners Special Opportunities, L.P. XIV

Fund administrator SS&C ALPS WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP COSTA MESA, California, United States
Custodian WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States Related to adviser: No
Prime broker WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

DELOITTE & TOUCHE LLP
PCAOB 34

WELLS FARGO SECURITIES, LLC
SEC 8-65876

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Fund details & source
Fund ID
805-1746541231
Reported beneficial owners
13
Minimum commitment
$50K
Form D file number
021-379677

Form ADV 2043973 · Jan 28, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LEGION PARTNERS SPECIAL OPPORTUNITIES, LP XIHedge Fund · Last reported Jan 28, 2026$1.07MGross asset value

Form D fundraising filings

Legion Partners Special Opportunities, L.P. XI

Fund administrator SS&C ALPS WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE LLP COSTA MESA, California, United States
Custodian WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States Related to adviser: No
Prime broker WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

DELOITTE & TOUCHE LLP
PCAOB 34

WELLS FARGO SECURITIES, LLC
SEC 8-65876

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Fund details & source
Fund ID
805-9112343643
Reported beneficial owners
25
Minimum commitment
$50K
Form D file number
021-333258

Form ADV 2043973 · Jan 28, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LEGION PARTNERS SPECIAL OPPROTUNITIES, LP XIIHedge Fund · Last reported Apr 3, 2020$25.8MGross asset value
Fund administrator ALPS ALTERNATIVE INVESTMENT SERVICES, LLC CORAL GABLES, Florida, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP LOS ANGELES, California, United States
Custodian WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States Related to adviser: No
Marketer FRONTEGRA STRATEGIES, LLC NORTHBROOK, Illinois, United States Related to adviser: No
Marketer GATEMORE CAPITAL MANAGEMENT, LLP LONDON, United Kingdom Related to adviser: No
Marketer GORDIAN INVESTMENTS, LLC WALNUT CREEK, California, United States Related to adviser: No
Prime broker WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

KPMG LLP
PCAOB 185

WELLS FARGO SECURITIES, LLC
SEC 8-65876

FRONTEGRA STRATEGIES, LLC
CRD 137529 · SEC 8-67094

GORDIAN INVESTMENTS, LLC
CRD 158611 · SEC 8-68911

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Fund details & source
Fund ID
805-6401357852
Reported beneficial owners
36
Minimum commitment
$50K
Form D file number
021-335640

Form ADV 1411194 · Apr 3, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LEGION PARTNERSHIP SPECIAL OPPORTUNITIES, L.P. VIIIHedge Fund · Last reported Jan 2, 2020$10.2MGross asset value

Form D fundraising filings

Legion Partners Special Opportunities, L.P. VIII

Fund administrator ALPS ALTERNATIVE INVESTMENT SERVICES, LLC CORAL GABLES, Florida, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP LOS ANGELES, California, United States
Custodian WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States Related to adviser: No
Marketer FRONTEGRA STRATEGIES, LLC NORTHBROOK, Illinois, United States Related to adviser: No
Marketer GATEMORE CAPITAL MANAGEMENT, LLP LONDON, United Kingdom Related to adviser: No
Marketer GORDIAN INVESTMENTS, LLC WALNUT CREEK, California, United States Related to adviser: No
Prime broker WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

KPMG LLP
PCAOB 185

WELLS FARGO SECURITIES, LLC
SEC 8-65876

FRONTEGRA STRATEGIES, LLC
CRD 137529 · SEC 8-67094

GORDIAN INVESTMENTS, LLC
CRD 158611 · SEC 8-68911

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Fund details & source
Fund ID
805-7704549657
Reported beneficial owners
13
Minimum commitment
$35K
Form D file number
021-301250

Form ADV 1365319 · Jan 2, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Jan 28, 2026. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

12121 WILSHIRE BLVD, SUITE 1240
LOS ANGELES, CA, 90025, United States

CRD 164136

Filing source

Form ADV 2043973 · Jan 28, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.