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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

LEGACY CONSULTING GROUP

LEGACY CG LLC, CRD 108541

PLANO, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8ff79c6c-d686-5ed4-3956-9a066d610cdf

Data as of Mar 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 2
On other graphs: 0
Observed: Mar 29, 2012 to Mar 11, 2026
29 observations

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

Firm class: independent wealth managerderivedprivate_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=true related_bank=false bd_reps=2.0
Regulatory AUM: $379MItem 5.F on the latest filing (2026-03-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $366M
Private client RAUM: $358MderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $94.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 516
Individual clients: 57
High net worth clients: 141
Custody, client assets: $152M
SEC number: 801-57457
CIK: 1904825
CRD: 108541
Filings on the tape: 29
First filed: Mar 29, 2012
Latest filed: Mar 11, 2026
Organised: Limited Liability Company, TX
Website: legacyconsultinggroup.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
STEVEN GREGG WACHS	Certified Financial Planner	PLANO, TX	23	39	1	yes
ROGER ALAN SHAKE	Certified Financial Planner	PLANO, TX	23	29	1	yes
MATTHEW PETER QUINN	Chartered Financial Analyst	PLANO, TX	9	20	2	no
JENNIFER YOUNG SCHMITT	Certified Financial Planner	PLANO, TX \| Maumelle, AR	4	26	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ROGER A. AND SUSAN SHAKE LIVING TRUST, DATED 11/7/1989, AS AMENDED OR RESTATED	Member	C	yes	01/2021	Feb 9, 2021	Mar 26, 2024
SCHMITT, JENNIFER, YOUNG	Trustee	F	yes	12/2018	Feb 9, 2021	Mar 26, 2024
SHAKE, ROGER, ALAN	Trustee	F	yes	11/1989	Mar 29, 2012	Mar 26, 2024
SHAKE, ROGER, ALAN	VP/SEC/TREAS.	Na	yes	01/1999	Mar 29, 2012	Mar 26, 2024
WACHS, STEVEN, GREGG	PRESIDENT, CHIEF COMPLIANCE OFFICER	C	yes	01/1999	Mar 29, 2012	Mar 26, 2024
BOLING, JENNIFER, KATHARINE	Member	A	no	01/2021	Feb 9, 2021	Mar 26, 2024
QUINN, MATTHEW, PETER	Member	A	no	01/2021	Feb 9, 2021	Mar 26, 2024
SCHMITT REVOCABLE TRUST, DATED 12/28/2018	Member	A	no	01/2021	Feb 9, 2021	Mar 26, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PERRYMAN SECURITIES, INC.	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 11, 2026	$379M	$366M	4	4	0	n/a	n/a
2024	Mar 20, 2025	$356M	$344M	5	2	0	n/a	n/a
2023	Mar 26, 2024	$317M	$304M	5	2	0	n/a	n/a
2022	Mar 28, 2023	$269M	$257M	4	2	0	n/a	n/a
2021	Mar 23, 2022	$325M	$309M	5	2	0	n/a	n/a
2020	Mar 28, 2021	$283M	$269M	4	2	0	n/a	n/a
2019	Mar 21, 2020	$249M	$235M	5	4	0	n/a	n/a
2018	Mar 21, 2019	$189M	$175M	5	4	0	n/a	n/a
2017	Mar 28, 2018	$181M	$165M	5	4	0	n/a	n/a
2016	Mar 27, 2017	$163M	$150M	6	6	n/a	n/a	n/a
2015	Mar 22, 2016	$166M	$147M	6	4	n/a	n/a	n/a
2014	Mar 31, 2015	$133M	$117M	5	3	n/a	n/a	n/a
2013	Mar 27, 2014	$130M	$112M	3	2	n/a	n/a	n/a
2012	Mar 27, 2013	$120M	$103M	3	2	n/a	n/a	n/a
2011	Mar 29, 2012	$110M	$93.4M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$379M	$356M	6.2%	$269M	12.0%	4	5	0	0

Relationships

Registered with (6)

← JENNIFER YOUNG SCHMITTAdvisorregistration: current employment
Aug 4, 2022 to presentfactForm ADV
← MATTHEW PETER QUINNAdvisorregistration: current employment
Jun 29, 2017 to presentfactForm ADV
← STEVEN GREGG WACHSAdvisorregistration: current employment
Jan 2, 2003 to presentfactForm ADV
← ROGER ALAN SHAKEAdvisorregistration: current employment
Jan 2, 2003 to presentfactForm ADV
← Drew William SchlotterAdvisorregistration: previous registration
Nov 16, 2023 to Mar 28, 2025factForm ADV
← MICHAEL KENNETH BABCOCKAdvisorregistration: previous registration
Dec 2, 2014 to Apr 14, 2020factForm ADV

Controls (4)

← WACHS, STEVEN, GREGGOwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 29, 2012 to Mar 26, 2024factForm ADV
← SHAKE, ROGER, ALANOwnerTRUSTEE, ownership code F, individual
Mar 29, 2012 to Mar 26, 2024factForm ADV
← SCHMITT, JENNIFER, YOUNGOwnerTRUSTEE, ownership code F, individual
Feb 9, 2021 to Mar 26, 2024factForm ADV
← ROGER A. AND SUSAN SHAKE LIVING TRUST, DATED 11/7/1989, AS AMENDED OR RESTATEDOwnerMEMBER, ownership code C, domestic entity
Feb 9, 2021 to Mar 26, 2024factForm ADV

Owns (3)

← QUINN, MATTHEW, PETEROwnerMEMBER, ownership code A, individual
Feb 9, 2021 to Mar 26, 2024factForm ADV
← BOLING, JENNIFER, KATHARINEOwnerMEMBER, ownership code A, individual
Feb 9, 2021 to Mar 26, 2024factForm ADV
← SCHMITT REVOCABLE TRUST, DATED 12/28/2018OwnerMEMBER, ownership code A, domestic entity
Feb 9, 2021 to Mar 26, 2024factForm ADV

Dated events

Occurred
Mar 28, 2025
Advisor changed firm
Drew William Schlotter left Legacy Consulting Group for Vanguard Advisers, Inc. (registered 2025-07-29)
Form ADVobserved 5 days ago
Occurred
Feb 9, 2021
Control person joined
Young Jennifer Schmitt (Trustee) appeared on Schedule A of Legacy Consulting Group
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8ff79c6c-d686-5ed4-3956-9a066d610cdf
First observed: Mar 29, 2012
Last observed: Mar 11, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

LEGACY CONSULTING GROUP

LEGACY CG LLC, CRD 108541

PLANO, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8ff79c6c-d686-5ed4-3956-9a066d610cdf

Data as of Mar 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:51 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

STEVEN GREGG WACHS

Certified Financial Planner

PLANO, TX

yes

ROGER ALAN SHAKE

Certified Financial Planner

PLANO, TX

yes

MATTHEW PETER QUINN

Chartered Financial Analyst

PLANO, TX

JENNIFER YOUNG SCHMITT

Certified Financial Planner

PLANO, TX | Maumelle, AR

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ROGER A. AND SUSAN SHAKE LIVING TRUST, DATED 11/7/1989, AS AMENDED OR RESTATED

Member

yes

01/2021

Feb 9, 2021

Mar 26, 2024

SCHMITT, JENNIFER, YOUNG

Trustee

yes

12/2018

Feb 9, 2021

Mar 26, 2024

SHAKE, ROGER, ALAN

Trustee

yes

11/1989

Mar 29, 2012

Mar 26, 2024

SHAKE, ROGER, ALAN

VP/SEC/TREAS.

yes

01/1999

Mar 29, 2012

Mar 26, 2024

WACHS, STEVEN, GREGG

PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

01/1999

Mar 29, 2012

Mar 26, 2024

BOLING, JENNIFER, KATHARINE

Member

01/2021

Feb 9, 2021

Mar 26, 2024

QUINN, MATTHEW, PETER

Member

01/2021

Feb 9, 2021

Mar 26, 2024

SCHMITT REVOCABLE TRUST, DATED 12/28/2018

Member

01/2021

Feb 9, 2021

Mar 26, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PERRYMAN SECURITIES, INC.

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 11, 2026

$379M

$366M

n/a

2024

Mar 20, 2025

$356M

$344M

n/a

2023

Mar 26, 2024

$317M

$304M

n/a

2022

Mar 28, 2023

$269M

$257M

n/a

2021

Mar 23, 2022

$325M

$309M

n/a

2020

Mar 28, 2021

$283M

$269M

n/a

2019

Mar 21, 2020

$249M

$235M

n/a

2018

Mar 21, 2019

$189M

$175M

n/a

2017

Mar 28, 2018

$181M

$165M

n/a

2016

Mar 27, 2017

$163M

$150M

n/a

2015

Mar 22, 2016

$166M

$147M

n/a

2014

Mar 31, 2015

$133M

$117M

n/a

2013

Mar 27, 2014

$130M

$112M

n/a

2012

Mar 27, 2013

$120M

$103M

n/a

2011

Mar 29, 2012

$110M

$93.4M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$379M

$356M

6.2%

$269M

12.0%