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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

SIERRA FINANCIAL MANAGEMENT CORPORATION

CRD 138696

WELLESLEY, MA

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:e9752580-8157-0158-b3f8-ebf3d288ee46

Data as of May 25, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to May 25, 2012
2 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $37.0MItem 5.F on the latest filing (2012-05-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $37.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 34
SEC number: 801-72017
CRD: 138696
Filings on the tape: 2
First filed: Mar 28, 2012
Latest filed: May 25, 2012
Organised: Corporation, Massachusetts

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
LEGGETT & LEGGETT, PC	Owner	E	yes	07/2004	Mar 28, 2012	May 25, 2012
LEGGETT, DAVID, NEAL	Owner	D	yes	07/2004	Mar 28, 2012	May 25, 2012
LEGGETT, DAVID, NEAL	CHIEF COMPLIANCE OFFICER	Na	yes	11/2010	Mar 28, 2012	May 25, 2012
LEGGETT, KIMBERLY, LOUREE	Owner	D	yes	07/2004	Mar 28, 2012	May 25, 2012
LEGGETT, KIMBERLY, LOUREE	Treasurer	Na	yes	01/2001	Mar 28, 2012	May 25, 2012

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
LEGGETT & LEGGETT, PC	n/a	n/a	n/a	Y	yes	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
2011	Mar 28, 2012	$32.0M	$32.0M	n/a	n/a	n/a	n/a	n/a

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
2011	$37.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
EXCALIBUR MANAGEMENT CORP	2	Apr 14, 2020	Nov 5, 2019	WELLESLEY, MA	Team lift out	Other	100.0%

Relationships

Controls (3)

← LEGGETT, DAVID, NEALOwnerOWNER, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV
← LEGGETT, KIMBERLY, LOUREEOwnerOWNER, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV
← LEGGETT & LEGGETT, PCOwnerOWNER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV

Registered with (2)

← DAVID NEAL LEGGETTAdvisorregistration: previous registration
Dec 7, 2011 to Apr 14, 2020factForm ADV
← KIMBERLY LOUREE LEGGETTAdvisorregistration: previous registration
Dec 7, 2011 to Apr 14, 2020factForm ADV

Moved with (1)

→ EXCALIBUR MANAGEMENT CORPRegistered adviser2 advisors, team lift out, same day
Apr 14, 2020 to Nov 5, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e9752580-8157-0158-b3f8-ebf3d288ee46
First observed: Mar 28, 2012
Last observed: May 25, 2012 174 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.

SIERRA FINANCIAL MANAGEMENT CORPORATION

CRD 138696

WELLESLEY, MA

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:e9752580-8157-0158-b3f8-ebf3d288ee46

Data as of May 25, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:56 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LEGGETT & LEGGETT, PC

Owner

yes

07/2004

Mar 28, 2012

May 25, 2012

LEGGETT, DAVID, NEAL

Owner

yes

07/2004

Mar 28, 2012

May 25, 2012

LEGGETT, DAVID, NEAL

CHIEF COMPLIANCE OFFICER

yes

11/2010

Mar 28, 2012

May 25, 2012

LEGGETT, KIMBERLY, LOUREE

Owner

yes

07/2004

Mar 28, 2012

May 25, 2012

LEGGETT, KIMBERLY, LOUREE

Treasurer

yes

01/2001

Mar 28, 2012

May 25, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LEGGETT & LEGGETT, PC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 28, 2012

$32.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$37.0M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

EXCALIBUR MANAGEMENT CORP

Apr 14, 2020

Nov 5, 2019

WELLESLEY, MA

Team lift out

Other

100.0%