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.
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SEC-registered adviser
L••••• F•••••••• A••••••• I••
Latest filing Mar 24, 2026
First filing on the tape Mar 30, 2012 · 35 filings
SEC status approved since Sep 14, 1993
RAUM
$390M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$378M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
11
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$390M as of Mar 24, 2026
Mar 30, 2012$345M then
HNW client RAUM$329M as of Mar 24, 2026
May 25, 2018$73.3M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Mar 25, 20136 then
Employees (5.A)11 as of Mar 24, 2026
Mar 25, 20137 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 5.G
- Custody
- $117M, 114 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$329M84%
- Individuals$48.9M13%
- Pension and profit-sharing plans$11.3M2.9%
- Corporations and businesses$389,1080.1%
- Charitable organizations$166,5290.0%
- Individual clients
- 98reported
- HNW clients
- 117reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 219reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $117M for 114 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• J••• H•••••••Certified Financial Planner | Pittsburgh, Pa | Apr 6, 2004 | 25 y | 1 |
| R••••• C•••••• W•••• | Pittsburgh, Pa | Apr 3, 2021 | 11 y | 0 |
| W•••••• T••••• K•••••Certified Financial Planner | Pittsburgh, Pa | Jan 3, 2022 | 15 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- D•••• C••••• to N••••••••• M••••• I••••••••• S•••••••••Jul 18, 2024 · Other
- A••• G•••• H••••••••• to W•••••• P•••••• W•••••Dec 17, 2020 · RIA to RIA
- B•••••• M•••••• P••••••• to E••••••••• I••••••••• M••••••••• I•••May 14, 2020 · Other
- D•••• M•••• P•••••• to E••••••••• I••••••••• M••••••••• I•••Aug 30, 2019 · Other
- V•••••• S••••••• to E••••••••• I••••••••• M••••••••• I•••Jul 27, 2016 · Other
- E••• L•• D••••• to E••••••••• I••••••••• M••••••••• I•••Nov 28, 2014 · Other
- C•••• D• C•••• to W•••••• P•••••• W•••••Jul 19, 2013 · Other
- B••••••• M•••••• G•••••••• to E••••••••• I••••••••• M••••••••• I•••Mar 11, 2011 · Other
- D••• E•••• D•••••• to E••••••••• I••••••••• M••••••••• I•••Mar 30, 2010 · Other
- M•••••• E••••• K••• to L•• F•••••••• L••Mar 29, 2007 · Other
- T•••••• J•••• M••••••• to L•• F•••••••• L••Sep 16, 2005 · Other
- A•••••• S••• V•••• to F•• S••••••••• C•••••••••Oct 31, 2003 · Other
Joined, latest
- D•••• C••••• from A••••• A•• P••••••• S•••••••Jul 1, 2021 · Affiliated broker-dealer or bank to independent RIA
- A••• G•••• H••••••••• from E••••••••• I••••••••• M••••••••• I•••Mar 25, 2016 · Other
- V•••••• S••••••• from N••••••••• M••••• I••••••••• S•••••••••Feb 11, 2014 · Other
- C•••• D• C•••• from E••••••••• I••••••••• M••••••••• I•••Aug 23, 2011 · Other
- D••• E•••• D•••••• from F••••••••• W••••• M••••••••• I•••Oct 7, 2009 · Other
- M•••••• E••••• K••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 11, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• J••••• J••• · Ceo, President, Cco And Wealth Advisorcontrolsince 02/2022 · owns 50% to 75%
- K•••• C••••••••• J• · Owner And Director Of Marketingcontrolsince 05/2001 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list L••••• F•••••••• A••••••• I•• as a related person
- 151471 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pittsburgh, Pa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 24, 2026accounts (Item 5.F.2.f) moved from 1,103.0 to 219.0 (-80.0%) between the annual amendments of 2025-03-17 and 2026-03-24; the peer median change was +5.0% (3687 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 0.3% percentile
What changed
consecutive filings, newest first
- Accounts · 1,103 to 219Dec 2, 2025 to Mar 24, 2026
- Corporate clients · 0 to 1Dec 2, 2025 to Mar 24, 2026
- HNW clients · 104 to 117Dec 2, 2025 to Mar 24, 2026
- Individual clients · 109 to 98Dec 2, 2025 to Mar 24, 2026
- Assets in custody · $82.5M to $117MDec 2, 2025 to Mar 24, 2026
- Discretionary RAUM · $335M to $390MDec 2, 2025 to Mar 24, 2026
- HNW RAUM · $249M to $329MDec 2, 2025 to Mar 24, 2026
- Individual RAUM · $77.2M to $48.9MDec 2, 2025 to Mar 24, 2026
- Pension RAUM · $9.3M to $11.3MDec 2, 2025 to Mar 24, 2026
- RAUM · $335M to $390MDec 2, 2025 to Mar 24, 2026
- Accounts · 1,076 to 1,103Aug 15, 2024 to Mar 17, 2025
- HNW clients · 101 to 104Aug 15, 2024 to Mar 17, 2025
- Individual clients · 112 to 109Aug 15, 2024 to Mar 17, 2025
- Assets in custody · $72.7M to $82.5MAug 15, 2024 to Mar 17, 2025
- Financial planning clients · 51-100 to 1-10Aug 15, 2024 to Mar 17, 2025
- Discretionary RAUM · $308M to $335MAug 15, 2024 to Mar 17, 2025
- HNW RAUM · $246M to $249MAug 15, 2024 to Mar 17, 2025
- Individual RAUM · $54.8M to $77.2MAug 15, 2024 to Mar 17, 2025
- Pension RAUM · $7.9M to $9.3MAug 15, 2024 to Mar 17, 2025
- RAUM · $308M to $335MAug 15, 2024 to Mar 17, 2025
- Advisory employees · 4 to 3May 14, 2024 to Jul 18, 2024
- Employees · 12 to 11May 14, 2024 to Jul 18, 2024
- State-registered IARs · 4 to 3May 14, 2024 to Jul 18, 2024
- Related adviser · true to falseMar 26, 2024 to May 14, 2024
- Accounts · 794 to 1,076Sep 1, 2023 to Mar 26, 2024
- Advisory activities · 6 to 5Sep 1, 2023 to Mar 26, 2024
- HNW clients · 77 to 101Sep 1, 2023 to Mar 26, 2024
- Individual clients · 79 to 112Sep 1, 2023 to Mar 26, 2024
- Pension plan clients · 6 to 2Sep 1, 2023 to Mar 26, 2024
- Assets in custody · unset to 72712668.0Sep 1, 2023 to Mar 26, 2024
- Custody of client assets · false to trueSep 1, 2023 to Mar 26, 2024
- Discretionary RAUM · $247M to $308MSep 1, 2023 to Mar 26, 2024
- HNW RAUM · $187M to $246MSep 1, 2023 to Mar 26, 2024
- Individual RAUM · $43.2M to $54.8MSep 1, 2023 to Mar 26, 2024
- Pension RAUM · $15.8M to $7.9MSep 1, 2023 to Mar 26, 2024
- RAUM · $247M to $308MSep 1, 2023 to Mar 26, 2024
- Accounts · 804 to 794Apr 13, 2022 to Mar 31, 2023
- Advisory activities · 5 to 6Apr 13, 2022 to Mar 31, 2023
- Charity clients · 2 to 1Apr 13, 2022 to Mar 31, 2023
- HNW clients · 95 to 77Apr 13, 2022 to Mar 31, 2023
Signals
3 dated events
- D•••• C••••• left L••••• F•••••••• A••••••• I•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2024-09-18)Jul 18, 2024 · Advisor changed firm · fact
- Peter Louis S••••••••• (President, Chief Executive Officer, Chief Compliance Officer) no longer on Schedule A of L••••• F•••••••• A••••••• I•• (listed 2021-10-21, absent 2022-03-25)Mar 25, 2022 · Control person left · inference
- C••••• Mcdade S••••••••• (Owner) appeared on Schedule A of L••••• F•••••••• A••••••• I••Feb 7, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- legend@legend-financial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 412-635-9210reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/legend-financial-advisors-inc.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 412-635-9210reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- LEGEND-FINANCIAL.COM/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026