DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Legacy Capital Partners, Inc.

Former SEC-registered adviserMilwaukee, WisconsinCRD 105735SEC 801-8846IAPD
Latest filing Feb 23, 2022
First filing on the tape Mar 5, 2012 · 24 filings
RAUM
$494M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
88%
$433M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$494M as of Feb 23, 2022
Mar 5, 2012$217M then
HNW client RAUM$377M as of Feb 23, 2022
Mar 26, 2018$270M then
State-registered IARs (5.B.3)4 as of Feb 23, 2022
Mar 22, 20133 then
Employees (5.A)6 as of Feb 23, 2022
Mar 22, 20135 then
Private funds: no history
RAUM +8.6% over the last fiscal year+12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 23, 2022; every figure names its basis
RAUM per advisor
$123MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$2.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-0.5%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$116M, 68 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$377M76%
  • Individuals$56.2M11%
  • Corporations and businesses$55.4M11%
  • Charitable organizations$4.7M1.0%
  • Pension and profit-sharing plans$381,2000.1%
Individual clients
92reported
HNW clients
94reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
192reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $12.9M managedreported
Custody of client assets
$116M for 68 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • J Jeffry Brigman · Vice President/Secretary/Chief Compliance Officercontrol
        since 01/1990 · owns 25% to 50%
      • J Thomas Wickman · President/Treasurercontrol
        since 10/1979 · owns 25% to 50%
      • Charles James Janikowski · Senior Vice President
        since 10/2007 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 196 to 192
        Jul 13, 2021 to Feb 22, 2022
      • Corporate clients · 4 to 3
        Jul 13, 2021 to Feb 22, 2022
      • HNW clients · 95 to 94
        Jul 13, 2021 to Feb 22, 2022
      • Assets in custody · $131M to $116M
        Jul 13, 2021 to Feb 22, 2022
      • Discretionary RAUM · $454M to $491M
        Jul 13, 2021 to Feb 22, 2022
      • HNW RAUM · $353M to $377M
        Jul 13, 2021 to Feb 22, 2022
      • Individual RAUM · $46.1M to $56.2M
        Jul 13, 2021 to Feb 22, 2022
      • Non-discretionary RAUM · $308,112 to $2.6M
        Jul 13, 2021 to Feb 22, 2022
      • Pension RAUM · $773,340 to $381,200
        Jul 13, 2021 to Feb 22, 2022
      • RAUM · $455M to $494M
        Jul 13, 2021 to Feb 22, 2022
      • Wrap assets (manager) · $11.5M to $12.9M
        Jul 13, 2021 to Feb 22, 2022
      • Accounts · 202 to 196
        Jun 16, 2020 to Mar 31, 2021
      • Advisory employees · 7 to 6
        Jun 16, 2020 to Mar 31, 2021
      • Corporate clients · 7 to 4
        Jun 16, 2020 to Mar 31, 2021
      • HNW clients · 100 to 95
        Jun 16, 2020 to Mar 31, 2021
      • Individual clients · 89 to 92
        Jun 16, 2020 to Mar 31, 2021
      • Assets in custody · $90.9M to $131M
        Jun 16, 2020 to Mar 31, 2021
      • Employees · 7 to 6
        Jun 16, 2020 to Mar 31, 2021
      • State-registered IARs · 5 to 4
        Jun 16, 2020 to Mar 31, 2021
      • Discretionary RAUM · $407M to $454M
        Jun 16, 2020 to Mar 31, 2021
      • HNW RAUM · $329M to $353M
        Jun 16, 2020 to Mar 31, 2021
      • Individual RAUM · $37.3M to $46.1M
        Jun 16, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $306,527 to $308,112
        Jun 16, 2020 to Mar 31, 2021
      • Pension RAUM · $6.6M to $773,340
        Jun 16, 2020 to Mar 31, 2021
      • RAUM · $407M to $455M
        Jun 16, 2020 to Mar 31, 2021
      • Wrap assets (manager) · $10.4M to $11.5M
        Jun 16, 2020 to Mar 31, 2021
      • Accounts · 192 to 202
        Mar 12, 2019 to Mar 26, 2020
      • HNW clients · 96 to 100
        Mar 12, 2019 to Mar 26, 2020
      • Individual clients · 85 to 89
        Mar 12, 2019 to Mar 26, 2020
      • Assets in custody · $84.1M to $90.9M
        Mar 12, 2019 to Mar 26, 2020
      • Discretionary RAUM · $351M to $407M
        Mar 12, 2019 to Mar 26, 2020
      • HNW RAUM · $286M to $329M
        Mar 12, 2019 to Mar 26, 2020
      • Individual RAUM · $31.8M to $37.3M
        Mar 12, 2019 to Mar 26, 2020
      • Non-discretionary RAUM · $1.4M to $306,527
        Mar 12, 2019 to Mar 26, 2020
      • Pension RAUM · $5.6M to $6.6M
        Mar 12, 2019 to Mar 26, 2020
      • RAUM · $352M to $407M
        Mar 12, 2019 to Mar 26, 2020
      • Wrap assets (manager) · $8.8M to $10.4M
        Mar 12, 2019 to Mar 26, 2020
      • Accounts · 187 to 192
        Dec 18, 2018 to Mar 12, 2019
      • Corporate clients · 8 to 7
        Dec 18, 2018 to Mar 12, 2019
      • HNW clients · 93 to 96
        Dec 18, 2018 to Mar 12, 2019
      Signals
      5 dated events
      • James Charles Janikowski left Legacy Capital Partners, Inc. for Dana Investment Advisors Inc (registered 2022-06-01)
        Jun 6, 2022 · Advisor changed firm · fact
      • Jeffry J Brigman left Legacy Capital Partners, Inc. for Dana Investment Advisors Inc (registered 2022-06-01)
        Jun 3, 2022 · Advisor changed firm · fact
      • Thomas J Wickman left Legacy Capital Partners, Inc. for Dana Investment Advisors Inc (registered 2022-06-01)
        Jun 3, 2022 · Advisor changed firm · fact
      • Legacy Capital Partners, Inc.'s advisors moved to Dana Investment Advisors Inc (Milwaukee, WI): 4 of 4 registered, within 3 days
        Jun 3, 2022 · Firm absorbed (people side) · derived
      • Garrett Joseph Brigman left Legacy Capital Partners, Inc. for Dana Investment Advisors Inc (registered 2022-06-01)
        Jun 3, 2022 · Advisor changed firm · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026