About Us

In 1998, Joe Birkofer, CFP and Rick Kaplan, CFA, saw an untapped opportunity in the financial services marketplace. These two professionals could not identify any firm that effectively...

1. worked with business owners and corporations (plan sponsors) to structure and administer the most appropriate retirement plans for them and their employees;
2. THEN helped the employees take advantage of the retirement benefit by assisting them in constructing and managing their portfolios;
3. AND also worked with their key company execs and other high net worth individuals on their more sophisticated investment management strategies, all the while providing independent advice.

And, so Legacy Asset Management was born to perform all of these functions and more. Today they fill the much-needed niche of working directly with corporations, their employees, their top execs and other investors to meet their comprehensive investment and financial needs.

While some advisory firms claim to offer such diverse practice areas as investment management, financial planning, and retirement consulting, few maintain the depth of experiences and expertise to tackle these complex, and yet interrelated, services. Legacy is recognized as an opinion leader for financial advice.

Investment Management: Rick Kaplan manages separate equity and fixed income portfolio accounts on behalf of business owners, key company execs, high net worth individuals, and foundations. His investment style focuses on large-cap and mid-cap value equities, as well as lower-risk government, corporate, and municipal bonds, and is designed for the long-term, risk-averse investor, whose primary goal is preservation of capital.

Retirement Services: Joe Birkofer heads up the practice that focuses on optimizing retirement plans and related strategies for owner-operated businesses, their families, and their employees. He works closely with business owners, corporate human resources professionals and others to structure the most appropriate retirement plans that meet managements' goals and objectives. He also educates their employees about the details of the retirement benefits, and assists them in customizing their unique retirement portfolios.

Legacy Asset Management has achieved an impressive track record during both strong and "challenging" market conditions and attempts to provide value in all environments by appealing to the "rational" side of their investors clients (even when the times seem anything but rational).

Above all else...We strive to be trusted advisers and stewards of our clients' assets.