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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

Elizabeth Legacy

Advisor at ROBINHOOD ASSET MANAGEMENT

MENLO PARK, CA | Safety Harbor, FL

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Search this name across graphsid dfx:ria:09dcecda-84c4-4e90-b2ce-3c26a99494fa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 4
On other graphs: 0
Observed: May 24, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ROBINHOOD ASSET MANAGEMENT
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 22, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 10
Current registrations: 1
Registered states: 2
Exams: S66
First exam: May 22, 2001
First registration: May 24, 2001
Dual registered: yes, broker-dealer
Other names: ELIZABETH ANNE LEGACY|ELIZABETH LEGACY
IAPD individual key: 4368139

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ROBINHOOD ASSET MANAGEMENT	Bd affiliated wealth	Jan 13, 2026	n/a	yes	Safety Harbor, FL\|MENLO PARK, CA	Current employment
REALTA INVESTMENT ADVISORS, INC	Bd affiliated wealth	Jul 1, 2024	May 28, 2025	no	WILMINGTON, DE\|SAN DIEGO, CA	Previous registration
SORRENTO PACIFIC FINANCIAL, LLC	Former SEC adviser	Mar 12, 2024	Jun 24, 2024	no	SAN DIEGO, CA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Jun 2, 2023	Jun 24, 2024	no	SAN DIEGO, CA	Previous registration
M FINANCIAL ASSET MANAGEMENT, INC.	Independent wealth	Nov 8, 2022	May 22, 2023	no	Santee, CA\|PORTLAND, OR	Previous registration
M HOLDINGS SECURITIES, INC.	Bd affiliated wealth	Jan 8, 2020	May 22, 2023	no	SANTEE, CA\|PORTLAND, OR\|SANTEE, CA	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Oct 11, 2011	Jan 6, 2020	no	SAN DIEGO, CA\|San Diego, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 27, 2006	Feb 3, 2011	no	SAN DIEGO, CA\|SAN DIEGO, CA\|SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 8, 2004	Mar 3, 2006	no	SAN DIEGO, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Dec 19, 2003	Mar 31, 2004	no	LA MESA, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	May 24, 2001	Apr 5, 2002	no	SAN DIEGO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
REALTA INVESTMENT ADVISORS, INC	ROBINHOOD ASSET MANAGEMENT	May 28, 2025	Jan 13, 2026	230	Firm change	Ibd to RIA
SORRENTO PACIFIC FINANCIAL, LLC	REALTA INVESTMENT ADVISORS, INC	Jun 24, 2024	Jul 1, 2024	7	Firm change	Ibd to ibd
CUSO FINANCIAL SERVICES, L.P.	SORRENTO PACIFIC FINANCIAL, LLC	Jun 24, 2024	Mar 12, 2024	-104	Channel change	Ibd to ibd
M HOLDINGS SECURITIES, INC.	M FINANCIAL ASSET MANAGEMENT, INC.	May 22, 2023	Nov 8, 2022	-195	Firm change after gap	Ibd to RIA
M FINANCIAL ASSET MANAGEMENT, INC.	CUSO FINANCIAL SERVICES, L.P.	May 22, 2023	Jun 2, 2023	11	Firm change	RIA to ibd
COMMONWEALTH FINANCIAL NETWORK	M HOLDINGS SECURITIES, INC.	Jan 6, 2020	Jan 8, 2020	2	Firm change	Ibd to ibd
LPL FINANCIAL LLC	COMMONWEALTH FINANCIAL NETWORK	Feb 3, 2011	Oct 11, 2011	250	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Mar 3, 2006	Feb 27, 2006	-4	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Mar 31, 2004	Apr 8, 2004	8	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	WELLS FARGO INVESTMENTS, LLC	Apr 5, 2002	Dec 19, 2003	623	Firm change after gap	Other

Relationships

Registered with (10)

→ ROBINHOOD ASSET MANAGEMENTRegistered adviserregistration: current employment
Jan 13, 2026 to presentfactForm ADV
→ REALTA INVESTMENT ADVISORS, INCRegistered adviserregistration: previous registration
Jul 1, 2024 to May 28, 2025factForm ADV
→ SORRENTO PACIFIC FINANCIAL, LLCRegistered adviserregistration: previous registration
Mar 12, 2024 to Jun 24, 2024factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Jun 2, 2023 to Jun 24, 2024factForm ADV
→ M FINANCIAL ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Nov 8, 2022 to May 22, 2023factForm ADV
→ M HOLDINGS SECURITIES, INC.Registered adviserregistration: previous registration
Jan 8, 2020 to May 22, 2023factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Oct 11, 2011 to Jan 6, 2020factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Feb 27, 2006 to Feb 3, 2011factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 8, 2004 to Mar 3, 2006factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Dec 19, 2003 to Mar 31, 2004factForm ADV

Dated events

Occurred
May 28, 2025
Advisor changed firm
Elizabeth Legacy left Realta Investment Advisors, Inc for Robinhood Asset Management (registered 2026-01-13)
Form ADVobserved 3 days ago
Occurred
Jun 24, 2024
Advisor changed firm
Elizabeth Legacy left Sorrento Pacific Financial, Llc for Realta Investment Advisors, Inc (registered 2024-07-01)
Form ADVobserved 3 days ago
Occurred
May 22, 2023
Advisor changed firm
Elizabeth Legacy left M Financial Asset Management, Inc. for Cuso Financial Services, L.P. (registered 2023-06-02)
Form ADVobserved 3 days ago
Occurred
May 22, 2023
Advisor changed firm
Elizabeth Legacy left M Holdings Securities, Inc. for M Financial Asset Management, Inc. (registered 2022-11-08)
Form ADVobserved 3 days ago