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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

LEGACY PCG, LLC

CRD 283909

NEWPORT, CA

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:f2d9e2dc-ff07-b6ef-a1ec-bb06e6368a92

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 9
On other graphs: 0
Observed: Jun 24, 2016 to Mar 23, 2026
31 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=0.06 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $140MItem 5.F on the latest filing (2026-03-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $140M
Private client RAUM: $131MderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $69.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 200
Individual clients: 38
High net worth clients: 33
Custody, client assets: $414,312
SEC number: 801-108057
CIK: 1952532
CRD: 283909
Filings on the tape: 31
First filed: Jun 24, 2016
Latest filed: Mar 23, 2026
Organised: Limited Liability Company, DE
Website: legacypcg.com

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
MGO GROUP, LLC	MANAGING MEMBER	E	yes	04/2016	Jun 24, 2016	Nov 8, 2024
O'CONNELL, KEVIN, JAMES	Member	C	yes	04/2016	Jun 24, 2016	Nov 8, 2024
PON, CYNTHIA	CHIEF FINANCIAL OFFICER	Na	yes	09/2016	Feb 16, 2018	Nov 8, 2024
ROMAN, LLC	Member	B	yes	05/2016	Jun 24, 2016	Nov 8, 2024
ROMAN, ROBERTO	CHIEF EXECUTIVE OFFICER	Na	yes	05/2016	May 12, 2017	Nov 8, 2024
YOUNG, CHARLES, CHI	CHIEF COMPLIANCE OFFICER	Na	yes	07/2023	Aug 15, 2023	Nov 8, 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
MACIAS GINI & O'CONNELL LLP	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

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 23, 2026	$140M	$140M	2	2	1	n/a	n/a
2024	Mar 6, 2025	$206M	$181M	4	2	1	n/a	n/a
2023	Mar 21, 2024	$288M	$218M	6	4	1	n/a	n/a
2022	Mar 2, 2023	$376M	$338M	17	6	3	n/a	n/a
2021	Mar 31, 2022	$347M	$305M	9	5	2	n/a	n/a
2020	Mar 16, 2021	$271M	$232M	4	4	3	n/a	n/a
2019	Mar 10, 2020	$220M	$187M	6	4	2	n/a	n/a
2018	Mar 27, 2019	$122M	$90.8M	4	3	0	n/a	n/a
2017	Feb 16, 2018	$106M	$80.7M	3	2	2	n/a	n/a
2016	Mar 31, 2017	$72.1M	$62.7M	3	2	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	0	2

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	$140M	$206M	-32.2%	$376M	-28.1%	2	4	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LEGACY PRIVATE CLIENT GROUP, INC.	2	Dec 31, 2016	Jul 25, 2016	KAMAS, UT	Team lift out	Other	66.7%

Relationships

Registered with (9)

← CASEY KELLY BLOUTAdvisorregistration: current employment
May 9, 2023 to presentfactForm ADV
← ROBERTO ROMANAdvisorregistration: current employment
Jul 25, 2016 to presentfactForm ADV
← BRUCE ALLAN FRANKELAdvisorregistration: previous registration
Apr 1, 2022 to Jul 22, 2024factForm ADV
← Nicholas BobroffAdvisorregistration: previous registration
Jul 20, 2023 to Jun 4, 2024factForm ADV
← TODD ERIC LUNSFORDAdvisorregistration: previous registration
Jul 25, 2016 to Aug 15, 2023factForm ADV
← DANIEL (NMN) GUILLENAdvisorregistration: previous registration
Sep 29, 2021 to Apr 17, 2023factForm ADV
← VICTOR DAVID RUSSELLAdvisorregistration: previous registration
Jul 14, 2022 to Mar 16, 2023factForm ADV
← LOUIS (NMN) BARAJASAdvisorregistration: previous registration
Oct 3, 2019 to Mar 1, 2023factForm ADV
← DANIEL JAY SHAINBERGAdvisorregistration: previous registration
Jan 5, 2018 to Aug 24, 2018factForm ADV

Controls (6)

← ROMAN, LLCOwnerMEMBER, ownership code B, domestic entity
Jun 24, 2016 to Nov 8, 2024factForm ADV
← YOUNG, CHARLES, CHIOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 15, 2023 to Nov 8, 2024factForm ADV
← ROMAN, ROBERTOOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
May 12, 2017 to Nov 8, 2024factForm ADV
← O'CONNELL, KEVIN, JAMESOwnerMEMBER, ownership code C, individual
Jun 24, 2016 to Nov 8, 2024factForm ADV
← PON, CYNTHIAOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Feb 16, 2018 to Nov 8, 2024factForm ADV
← MGO GROUP, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Jun 24, 2016 to Nov 8, 2024factForm ADV

Moved with (1)

← LEGACY PRIVATE CLIENT GROUP, INC.Registered adviser2 advisors, team lift out, same day
Dec 31, 2016 to Jul 25, 2016factForm ADV

Dated events

Occurred
Jul 22, 2024
Advisor changed firm
Bruce Allan Frankel left Legacy Pcg, Llc for Parallel Advisors, Llc (registered 2024-12-19)
Form ADVobserved 4 days ago
Occurred
Jun 4, 2024
Advisor changed firm
Nicholas Bobroff left Legacy Pcg, Llc for Charles Schwab & Co., Inc. (registered 2025-04-29)
Form ADVobserved 4 days ago
Occurred
Aug 15, 2023
Control person left
Eric Todd Lunsford (Chief Compliance Officer) no longer on Schedule A of Legacy Pcg, Llc (listed 2023-04-25, absent 2023-08-15)
Form ADVobserved 4 days ago
Occurred
Aug 15, 2023
Control person joined
Chi Charles Young (Chief Compliance Officer) appeared on Schedule A of Legacy Pcg, Llc
Form ADVobserved 4 days ago
Occurred
Aug 15, 2023
Advisor changed firm
Todd Eric Lunsford left Legacy Pcg, Llc for Axxcess Wealth Management, Llc (registered 2023-07-14)
Form ADVobserved 4 days ago
Occurred
Apr 17, 2023
Advisor changed firm
Daniel (Nmn) Guillen left Legacy Pcg, Llc for International Private Wealth Advisors Llc (registered 2022-09-30)
Form ADVobserved 4 days ago
Occurred
Mar 16, 2023
Advisor changed firm
Victor David Russell left Legacy Pcg, Llc for Mavros Capital Management, Llc (registered 2023-09-18)
Form ADVobserved 4 days ago
Occurred
Mar 1, 2023
Advisor changed firm
Louis (Nmn) Barajas left Legacy Pcg, Llc for International Private Wealth Advisors Llc (registered 2022-09-29)
Form ADVobserved 4 days ago
Occurred
Jun 24, 2016
First Form ADV filing
Mgo Wealth Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f2d9e2dc-ff07-b6ef-a1ec-bb06e6368a92
First observed: Jun 24, 2016
Last observed: Mar 23, 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 PCG, LLC

CRD 283909

NEWPORT, CA

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:f2d9e2dc-ff07-b6ef-a1ec-bb06e6368a92

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MGO GROUP, LLC

MANAGING MEMBER

yes

04/2016

Jun 24, 2016

Nov 8, 2024

O'CONNELL, KEVIN, JAMES

Member

yes

04/2016

Jun 24, 2016

Nov 8, 2024

PON, CYNTHIA

CHIEF FINANCIAL OFFICER

yes

09/2016

Feb 16, 2018

Nov 8, 2024

ROMAN, LLC

Member

yes

05/2016

Jun 24, 2016

Nov 8, 2024

ROMAN, ROBERTO

CHIEF EXECUTIVE OFFICER

yes

05/2016

May 12, 2017

Nov 8, 2024

YOUNG, CHARLES, CHI

CHIEF COMPLIANCE OFFICER

yes

07/2023

Aug 15, 2023

Nov 8, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MACIAS GINI & O'CONNELL LLP

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 23, 2026

$140M

n/a

2024

Mar 6, 2025

$206M

$181M

n/a

2023

Mar 21, 2024

$288M

$218M

n/a

2022

Mar 2, 2023

$376M

$338M

n/a

2021

Mar 31, 2022

$347M

$305M

n/a

2020

Mar 16, 2021

$271M

$232M

n/a

2019

Mar 10, 2020

$220M

$187M

n/a

2018

Mar 27, 2019

$122M

$90.8M

n/a

2017

Feb 16, 2018

$106M

$80.7M

n/a

2016

Mar 31, 2017

$72.1M

$62.7M

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

$140M

$206M

-32.2%

$376M

-28.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LEGACY PRIVATE CLIENT GROUP, INC.

Dec 31, 2016

Jul 25, 2016

KAMAS, UT

Team lift out

Other

66.7%