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 Management Inc

Former SEC-registered adviserRoseville, CaliforniaCRD 106823SEC 801-44284IAPD
Latest filing Apr 17, 2013
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$38.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$38.7M as of Feb 22, 2013
Mar 30, 2012$92.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 22, 2013
Mar 30, 20120 then
Employees (5.A): 2
Private funds: 1
RAUM -58% over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Apr 17, 2013; every figure names its basis
RAUM per advisor
$19.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$522,610derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-58%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisers, publicationsreportedItem 5.G
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
74reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Legacy Tactical Return Fund IHedge Fund$3.9M21Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Fredric James Mccarthy · Director, Chief Operations Officer, Chief Compliance Officercontrol
      since 12/2003 · owns 10% to 25%
    • Joe Benny Milam · President/Director/Chairman Of The Boardcontrol
      since 06/1993 · owns 25% to 50%
    • Lynn Valerie Milam · Shareholdercontrol
      since 07/2005 · owns 25% to 50%
    • W. Naomi Bowman · Shareholder
      since 12/2004 · owns less than 5%
    • Carey James Clifford · Shareholder
      since 07/1997 · owns less than 5%
    • Tracy Henderson · Shareholder
      since 03/1998 · owns less than 5%
    • Caitlin Milam · Shareholder
      since 04/2003 · owns less than 5%
    • James Milam · Shareholder
      since 04/2003 · owns less than 5%
    • Stephanie Milam · Shareholder
      since 04/2003 · owns less than 5%
    • Frances Catherine Steigerwald · Shareholder
      since 10/1993 · owns less than 5%
    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 · 67 to 74
      Jun 21, 2012 to Feb 22, 2013
    • Advisory employees · unset to 2.0
      Jun 21, 2012 to Feb 22, 2013
    • Advisory activities · 4 to 3
      Jun 21, 2012 to Feb 22, 2013
    • Employees · unset to 2.0
      Jun 21, 2012 to Feb 22, 2013
    • State-registered IARs · 0 to 2
      Jun 21, 2012 to Feb 22, 2013
    • Private funds · 1 to unset
      Jun 21, 2012 to Feb 22, 2013
    • Discretionary RAUM · $92.9M to $38.7M
      Jun 21, 2012 to Feb 22, 2013
    • RAUM · $92.9M to $38.7M
      Jun 21, 2012 to Feb 22, 2013
    Signals
    No event on the tape.
    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