GETTING STARTED – BECOMING A CLIENT 
WHAT’S INVOLVED?

STAGE 1 – CALL FOR AN INITIAL DISCUSSION AT
(412) 635-9210 OR SCHEDULE A FREE INTRODUCTORY CALL

Call Legend For A No Obligation Discussion

  1. During our initial free introductory call, you will be invited to tell us about yourself, what you would like to accomplish and what types of services you desire.  After listening to your concerns, we will then describe our approach to helping clients, describing the services we provide and how we can specifically assist you.

STAGE 2 – SCHEDULE AN IN-PERSON APPOINTMENT OR WEBCAST

After an initial free introductory call, we can schedule a no cost, no obligation in-person appointment or webcast.

Prior to this meeting/webcast it would be beneficial to:

  1. Provide Legend with all relevant financial documents via ShareFile, in advance.
  2. Create a list of your personal financial priorities or goals.
  3. Complete a Risk Assessment Questionnaire to determine your Personal Risk Score.

This meeting/webcast with a Legend advisor would include:

  1. A discussion about your overall financial situation.
  2. A discussion about Legend's fee-only, fiduciary financial advisory services.
  3. If we receive your financial documents in advance, Legend can provide an overview of your current investments and financial situation during the first meeting/webcast.
  4. We would discuss our fees with you.
  5. We would discuss potential next steps to become a client.
  6. Any other questions you might have.

STAGE 3 – BECOMING A LEGEND INVESTMENT CLIENT

GETTING STARTED AS AN INVESTMENT CLIENT

The process of becoming a client

  1. Legend would send you a document via DocuSign to electronically sign that gives your consent to accept, access and receive delivery of electronic regulatory notices and disclosures from Legend.
  2. Legend would send you an Agreement for both parties to sign.
  3. Once the Agreement is completed, Legend would then send a digital package with all necessary forms to open new accounts and transfer securities, if applicable, to Charles Schwab.
  4. Legend’s advisory team will then review your personal investment risk score with you so that an appropriate investment strategy can be designed to fit your investment goals.
  5. Legend’s advisory team will discuss with you the financial impact of your proposed investment recommendations in conjunction with the resulting income tax implications.
  6. Once the investment schedule is signed by you, Legend's advisory team will then execute specific securities trades, if appropriate, to implement the investment portfolio strategy.
  7. Legend will provide access to an electronic vault to organize your financial information.
  8. You will receive ongoing portfolio performance reporting.