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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10bsuccession filed

LEGACY WEALTH MANAGEMENT, LLC

LEGACY WEALTH MANAGEMENT INC, CRD 108619

MEMPHIS, TN

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:9aef5234-671c-d644-a72e-bdbc62917168

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 41
Dated events: 10
On other graphs: 0
Observed: Mar 28, 2012 to Mar 13, 2026
28 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=0.9 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.7BItem 5.F on the latest filing (2026-03-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.5B
Private client RAUM: $2.4BderivedItem 5.D individuals plus high net worth individuals
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 16
RAUM per advisor: $166Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 22
Advisory employees: 16
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 4,667
Individual clients: 786
High net worth clients: 674
Custody, client assets: $210M
SEC number: 801-18073
CRD: 108619
Filings on the tape: 28
First filed: Mar 28, 2012
Latest filed: Mar 13, 2026
Succeeded: LEGACY WEALTH MANAGEMENT INCCRD 108619
Organised: Limited Liability Company, TN

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
DUNCAN L MILLER	Certified Financial Planner	MEMPHIS, TN	12	26	n/a	no
BRIENNE SMITH JACKSON	Certified Financial Planner	MEMPHIS, TN	1	18	n/a	no
Lawrence James Epperly	Chartered Financial Analyst	MEMPHIS, TN	1	12	n/a	no
NICHOLAS GLENN SOWELL	Certified Financial Planner	MEMPHIS, TN	1	17	1	no
REBECCA JEANNE RAWLINSON	Certified Financial Planner	MEMPHIS, TN	1	19	n/a	no
NATHAN SCOTT POWELL	Certified Financial Planner	MEMPHIS, TN	1	12	1	no
Brittany Glyn Paul	Certified Financial Planner	MEMPHIS, TN	1	9	n/a	no
ROBIN KEITH SIEVERS	Certified Financial Planner	MEMPHIS, TN	1	25	n/a	no
JOSEPH FRANCIS BIRCH	n/a	MEMPHIS, TN	1	12	n/a	no
HALLIE L PEYTON	Certified Financial Planner	MEMPHIS, TN	1	32	n/a	no
CATHY ANN SIMMONS	Certified Financial Planner	MEMPHIS, TN	1	34	n/a	no
WALLACE SPENCER HOPE	Chartered Financial Analyst	MEMPHIS, TN	1	21	1	no
E CHARLES JALENAK	Certified Financial Planner	MEMPHIS, TN	1	22	1	no
LINDSEY BELL MAZZOLA	Certified Financial Planner	MEMPHIS, TN	1	23	n/a	no
COURTNEY HAYS WAGES	n/a	MEMPHIS, TN	0	22	n/a	no
DANIEL ERIC KIMBROUGH	n/a	MEMPHIS, TN	0	12	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
Epperly, Lawrence, James	DIRECTOR OF CLIENT SERVICE	Na	yes	01/2025	Mar 13, 2026	Mar 13, 2026
JALENAK, E, CHARLES	Director	B	yes	01/2025	Mar 13, 2026	Mar 13, 2026
MAZZOLA, LINDSEY, BELL	DIRECTOR OF CLIENT OPERATIONS	A	yes	05/2012	Mar 13, 2026	Mar 13, 2026
MILLER, DUNCAN, L	PRESIDENT & CEO	B	yes	01/2022	Mar 13, 2026	Mar 13, 2026
PEYTON, HALLIE, L	Director	A	yes	01/2025	Mar 13, 2026	Mar 13, 2026
RAWLINSON, REBECCA, JEANNE	DIRECTOR OF CLIENT SERVICE	A	yes	01/2025	Mar 13, 2026	Mar 13, 2026
SIEVERS, ROBIN, KEITH	MANAGING DIRECTOR	A	yes	01/2025	Mar 13, 2026	Mar 13, 2026
SIMMONS, CATHY, ANN	CHIEF COMPLIANCE OFFICER	Na	yes	04/2007	Mar 13, 2026	Mar 13, 2026
SOWELL, NICHOLAS, GLENN	DIRECTOR OF FINANCIAL PLANNING	Na	yes	10/2021	Mar 13, 2026	Mar 13, 2026
VOSBURG, ALAN, EDWARD	IT MANAGER	A	yes	01/2013	Mar 13, 2026	Mar 13, 2026

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; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 13, 2026	$2.7B	$2.5B	22	16	0	n/a	n/a
2024	Mar 10, 2025	$2.4B	$2.2B	21	14	0	n/a	n/a
2023	Mar 8, 2024	$2.1B	$2.0B	21	15	0	n/a	n/a
2022	Mar 27, 2023	$1.8B	$1.7B	23	17	0	n/a	n/a
2021	Feb 22, 2022	$2.1B	$2.0B	24	18	0	n/a	n/a
2020	Mar 24, 2021	$1.7B	$1.6B	22	16	0	n/a	n/a
2019	Mar 10, 2020	$1.5B	$1.4B	23	18	0	n/a	n/a
2018	Mar 27, 2019	$1.2B	$1.1B	23	18	0	n/a	n/a
2017	Mar 22, 2018	$1.3B	$1.2B	21	17	0	n/a	n/a
2016	Mar 22, 2017	$1.1B	$997M	21	17	n/a	n/a	n/a
2015	Mar 23, 2016	$1.0B	$960M	21	17	n/a	n/a	n/a
2014	Mar 24, 2015	$1.1B	$999M	21	17	n/a	n/a	n/a
2013	Mar 28, 2014	$1.0B	$974M	23	19	n/a	n/a	n/a
2012	Mar 25, 2013	$898M	$855M	24	18	n/a	n/a	n/a
2011	Mar 28, 2012	$865M	$823M	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	4	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	$2.7B	$2.4B	12.7%	$1.8B	14.3%	22	21	0	0

Relationships

Registered with (30)

← DANIEL ERIC KIMBROUGHAdvisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← COURTNEY HAYS WAGESAdvisorregistration: current employment
Nov 19, 2025 to presentfactForm ADV
← LINDSEY BELL MAZZOLAAdvisorregistration: current employment
Jul 14, 2025 to presentfactForm ADV
← E CHARLES JALENAKAdvisorregistration: current employment
Jul 10, 2025 to presentfactForm ADV
← CATHY ANN SIMMONSAdvisorregistration: current employment
Jun 20, 2025 to presentfactForm ADV
← WALLACE SPENCER HOPEAdvisorregistration: current employment
Jun 20, 2025 to presentfactForm ADV
← HALLIE L PEYTONAdvisorregistration: current employment
Jun 18, 2025 to presentfactForm ADV
← JOSEPH FRANCIS BIRCHAdvisorregistration: current employment
May 22, 2025 to presentfactForm ADV
← ROBIN KEITH SIEVERSAdvisorregistration: current employment
May 21, 2025 to presentfactForm ADV
← NATHAN SCOTT POWELLAdvisorregistration: current employment
May 20, 2025 to presentfactForm ADV
← Brittany Glyn PaulAdvisorregistration: current employment
May 20, 2025 to presentfactForm ADV
← REBECCA JEANNE RAWLINSONAdvisorregistration: current employment
May 16, 2025 to presentfactForm ADV
← NICHOLAS GLENN SOWELLAdvisorregistration: current employment
May 13, 2025 to presentfactForm ADV
← Lawrence James EpperlyAdvisorregistration: current employment
May 6, 2025 to presentfactForm ADV
← BRIENNE SMITH JACKSONAdvisorregistration: current employment
Apr 28, 2025 to presentfactForm ADV
← DUNCAN L MILLERAdvisorregistration: current employment
Nov 21, 2013 to presentfactForm ADV
← Gabriel Hussein DoubaAdvisorregistration: previous registration
May 2, 2025 to Jun 25, 2025factForm ADV
← James Kenneth KillebrewAdvisorregistration: previous registration
Jan 17, 2023 to Jul 18, 2023factForm ADV
← Lukas Brian HooperAdvisorregistration: previous registration
Oct 8, 2021 to Jul 10, 2023factForm ADV
← HUGH W GATESAdvisorregistration: previous registration
Feb 25, 2022 to Mar 27, 2023factForm ADV
← JONATHAN D MCALISTERAdvisorregistration: previous registration
Aug 18, 2017 to Jan 22, 2020factForm ADV
← JEFFREY FORREST BARNESAdvisorregistration: previous registration
Nov 6, 2013 to Oct 1, 2015factForm ADV
← SHELLY HALFORD BAKERAdvisorregistration: previous registration
Oct 9, 2009 to Sep 5, 2014factForm ADV
← JOSEPH WARREN DYALAdvisorregistration: previous registration
Oct 22, 2007 to Jun 3, 2014factForm ADV
← STEVEN ALLEN HOLDSWORTHAdvisorregistration: previous registration
Apr 1, 2004 to Dec 23, 2013factForm ADV
← David Grant MetzgerAdvisorregistration: previous registration
Nov 27, 2006 to Jul 3, 2013factForm ADV
← FRANK STEPHEN REEDAdvisorregistration: previous registration
Feb 22, 2010 to May 5, 2010factForm ADV
← CELESTE DIANE PRYORAdvisorregistration: previous registration
Dec 1, 2006 to Aug 25, 2009factForm ADV
← JOSEPH Amery STAUBAdvisorregistration: previous registration
Apr 1, 2004 to Feb 28, 2005factForm ADV
← SARAH RUSSELL HAIZLIPAdvisorregistration: previous registration
Apr 1, 2004 to Feb 25, 2005factForm ADV

Controls (10)

← JALENAK, E, CHARLESOwnerSENIOR WEALTH STRATEGIST, ownership code B, individual
Mar 25, 2013 to Sep 9, 2024factForm ADV
← SIMMONS, CATHY, ANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to Sep 9, 2024factForm ADV
← PEYTON, HALLIE, LOwnerDIRECTOR OF CLIENT SERVICE, ownership code A, individual
Mar 28, 2012 to Sep 9, 2024factForm ADV
← SIEVERS, ROBIN, KEITHOwnerDIRECTOR OF CLIENT SERVICE, ownership code A, individual
Mar 25, 2013 to Sep 9, 2024factForm ADV
← MILLER, DUNCAN, LOwnerPRESIDENT & CEO, ownership code B, individual
Mar 28, 2012 to Sep 9, 2024factForm ADV
← RAWLINSON, REBECCA, JEANNEOwnerDIRECTOR OF FINANCIAL PLANNING, ownership code A, individual
Feb 22, 2022 to Sep 9, 2024factForm ADV
← MAZZOLA, LINDSEY, BELLOwnerDIRECTOR OF CLIENT OPERATIONS, ownership code A, individual
Aug 16, 2012 to Sep 9, 2024factForm ADV
← VOSBURG, ALAN, EDWARDOwnerIT MANAGER, ownership code A, individual
Sep 9, 2024 to Sep 9, 2024factForm ADV
← SOWELL, NICHOLAS, GLENNOwnerDIRECTOR OF FINANCIAL PLANNING, ownership code NA, individual
Mar 8, 2024 to Sep 9, 2024factForm ADV
← Epperly, Lawrence, JamesOwnerDIRECTOR OF PORTFOLIO MANAGEMENT, ownership code NA, individual
Mar 8, 2024 to Sep 9, 2024factForm ADV

Dated events

Occurred
Jan 30, 2026
Succession filed (Item 4)
Legacy Wealth Management Inc reported succeeding to the business of Legacy Wealth Management Inc (Form ADV Item 4)
Form ADVobserved 5 days ago
Occurred
Jun 25, 2025
Advisor changed firm
Gabriel Hussein Douba left Legacy Wealth Management, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-03-13)
Form ADVobserved 5 days ago
Occurred
Sep 9, 2024
Control person joined
Edward Alan Vosburg (It Manager) appeared on Schedule A of Legacy Wealth Management, Llc
Form ADVobserved 5 days ago
Occurred
Sep 9, 2024
Control person left
J. James Isaacs (Chairman) no longer on Schedule A of Legacy Wealth Management, Llc (listed 2024-03-08, absent 2024-09-09)
Form ADVobserved 5 days ago
Occurred
Mar 8, 2024
Control person joined
James Lawrence Epperly (Director Of Portfolio Management) appeared on Schedule A of Legacy Wealth Management, Llc
Form ADVobserved 5 days ago
Occurred
Mar 8, 2024
Control person joined
Glenn Nicholas Sowell (Director Of Financial Planning) appeared on Schedule A of Legacy Wealth Management, Llc
Form ADVobserved 5 days ago
Occurred
Jul 18, 2023
Advisor changed firm
James Kenneth Killebrew left Legacy Wealth Management, Llc for Charles Schwab & Co., Inc. (registered 2023-08-10)
Form ADVobserved 5 days ago
Occurred
Jul 10, 2023
Advisor changed firm
Lukas Brian Hooper left Legacy Wealth Management, Llc for Waddell & Associates, Llc (registered 2023-11-20)
Form ADVobserved 5 days ago
Occurred
Mar 27, 2023
Advisor changed firm
Hugh W Gates left Legacy Wealth Management, Llc for Beacon Pointe Advisors, Llc (registered 2023-04-05)
Form ADVobserved 5 days ago
Occurred
Feb 22, 2022
Control person joined
Jeanne Rebecca Rawlinson (Director Of Financial Planning) appeared on Schedule A of Legacy Wealth Management, Llc
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9aef5234-671c-d644-a72e-bdbc62917168
First observed: Mar 28, 2012
Last observed: Mar 13, 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 WEALTH MANAGEMENT, LLC

LEGACY WEALTH MANAGEMENT INC, CRD 108619

MEMPHIS, TN

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:9aef5234-671c-d644-a72e-bdbc62917168

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:15 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DUNCAN L MILLER

Certified Financial Planner

MEMPHIS, TN

n/a

BRIENNE SMITH JACKSON

Certified Financial Planner

MEMPHIS, TN

n/a

Lawrence James Epperly

Chartered Financial Analyst

MEMPHIS, TN

n/a

NICHOLAS GLENN SOWELL

Certified Financial Planner

MEMPHIS, TN

REBECCA JEANNE RAWLINSON

Certified Financial Planner

MEMPHIS, TN

n/a

NATHAN SCOTT POWELL

Certified Financial Planner

MEMPHIS, TN

Brittany Glyn Paul

Certified Financial Planner

MEMPHIS, TN

n/a

ROBIN KEITH SIEVERS

Certified Financial Planner

MEMPHIS, TN

n/a

JOSEPH FRANCIS BIRCH

n/a

MEMPHIS, TN

n/a

HALLIE L PEYTON

Certified Financial Planner

MEMPHIS, TN

n/a

CATHY ANN SIMMONS

Certified Financial Planner

MEMPHIS, TN

n/a

WALLACE SPENCER HOPE

Chartered Financial Analyst

MEMPHIS, TN

E CHARLES JALENAK

Certified Financial Planner

MEMPHIS, TN

LINDSEY BELL MAZZOLA

Certified Financial Planner

MEMPHIS, TN

n/a

COURTNEY HAYS WAGES

n/a

MEMPHIS, TN

n/a

DANIEL ERIC KIMBROUGH

n/a

MEMPHIS, TN

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Epperly, Lawrence, James

DIRECTOR OF CLIENT SERVICE

yes

01/2025

Mar 13, 2026

JALENAK, E, CHARLES

Director

yes

01/2025

Mar 13, 2026

MAZZOLA, LINDSEY, BELL

DIRECTOR OF CLIENT OPERATIONS

yes

05/2012

Mar 13, 2026

MILLER, DUNCAN, L

PRESIDENT & CEO

yes

01/2022

Mar 13, 2026

PEYTON, HALLIE, L

Director

yes

01/2025

Mar 13, 2026

RAWLINSON, REBECCA, JEANNE

DIRECTOR OF CLIENT SERVICE

yes

01/2025

Mar 13, 2026

SIEVERS, ROBIN, KEITH

MANAGING DIRECTOR

yes

01/2025

Mar 13, 2026

SIMMONS, CATHY, ANN

CHIEF COMPLIANCE OFFICER

yes

04/2007

Mar 13, 2026

SOWELL, NICHOLAS, GLENN

DIRECTOR OF FINANCIAL PLANNING

yes

10/2021

Mar 13, 2026

VOSBURG, ALAN, EDWARD

IT MANAGER

yes

01/2013

Mar 13, 2026

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 13, 2026

$2.7B

$2.5B

n/a

2024

Mar 10, 2025

$2.4B

$2.2B

n/a

2023

Mar 8, 2024

$2.1B

$2.0B

n/a

2022

Mar 27, 2023

$1.8B

$1.7B

n/a

2021

Feb 22, 2022

$2.1B

$2.0B

n/a

2020

Mar 24, 2021

$1.7B

$1.6B

n/a

2019

Mar 10, 2020

$1.5B

$1.4B

n/a

2018

Mar 27, 2019

$1.2B

$1.1B

n/a

2017

Mar 22, 2018

$1.3B

$1.2B

n/a

2016

Mar 22, 2017

$1.1B

$997M

n/a

2015

Mar 23, 2016

$1.0B

$960M

n/a

2014

Mar 24, 2015

$1.1B

$999M

n/a

2013

Mar 28, 2014

$1.0B

$974M

n/a

2012

Mar 25, 2013

$898M

$855M

n/a

2011

Mar 28, 2012

$865M

$823M

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

$2.7B

$2.4B

12.7%

$1.8B

14.3%