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.
SEC-registered adviser
Legacy Wealth Management, LLC
Legal name Legacy Wealth Management Inc
Latest filing Mar 13, 2026
First filing on the tape Mar 28, 2012 · 28 filings
SEC status approved since Dec 23, 1982
RAUM
$2.7B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
90%
$2.4B individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$166M
derived; firm RAUM over IAPD count
Employees
22
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$2.7B as of Mar 13, 2026
Mar 28, 2012$865M then
HNW client RAUM$2.1B as of Mar 13, 2026
Mar 22, 2018$909M then
State-registered IARs (5.B.3)16 as of Mar 13, 2026
Mar 28, 20120 then
Employees (5.A)22 as of Mar 13, 2026
Mar 25, 201324 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 14 to 16
Practice profile
derived from the filing of Mar 13, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $166MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $569,382derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 16.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $210M, 278 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.1B78%
- Individuals$323M12%
- Corporations and businesses$238M8.9%
- Charitable organizations$22.1M0.8%
- Pension and profit-sharing plans$7.5M0.3%
- State and municipal entities$6.1M0.2%
- Individual clients
- 786reported
- HNW clients
- 674reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 4,667reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $210M for 278 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Duncan L MillerCertified Financial Planner | Memphis, Tn | Nov 21, 2013 | 26 y | 0 |
| Brienne Smith JacksonCertified Financial Planner | Memphis, Tn | Apr 28, 2025 | 18 y | 0 |
| Lawrence James EpperlyChartered Financial Analyst | Memphis, Tn | May 6, 2025 | 12 y | 0 |
| Nicholas Glenn SowellCertified Financial Planner | Memphis, Tn | May 13, 2025 | 17 y | 1 |
| Rebecca Jeanne RawlinsonCertified Financial Planner | Memphis, Tn | May 16, 2025 | 19 y | 0 |
| Nathan Scott PowellCertified Financial Planner | Memphis, Tn | May 20, 2025 | 12 y | 1 |
| Brittany Glyn PaulCertified Financial Planner | Memphis, Tn | May 20, 2025 | 9 y | 0 |
| Robin Keith SieversCertified Financial Planner | Memphis, Tn | May 21, 2025 | 25 y | 0 |
| Joseph Francis Birch | Memphis, Tn | May 22, 2025 | 12 y | 0 |
| Hallie L PeytonCertified Financial Planner | Memphis, Tn | Jun 18, 2025 | 32 y | 0 |
| Cathy Ann SimmonsCertified Financial Planner | Memphis, Tn | Jun 20, 2025 | 34 y | 0 |
| Wallace Spencer HopeChartered Financial Analyst | Memphis, Tn | Jun 20, 2025 | 21 y | 1 |
| E Charles JalenakCertified Financial Planner | Memphis, Tn | Jul 10, 2025 | 22 y | 1 |
| Lindsey Bell MazzolaCertified Financial Planner | Memphis, Tn | Jul 14, 2025 | 23 y | 0 |
| Courtney Hays Wages | Memphis, Tn | Nov 19, 2025 | 22 y | 0 |
| Daniel Eric Kimbrough | Memphis, Tn | Jan 1, 2026 | 12 y | 0 |
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
- Gabriel Hussein Douba to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 25, 2025 · RIA to wirehouse
- James Kenneth Killebrew to Charles Schwab & Co., Inc.Jul 18, 2023 · RIA to affiliated broker-dealer or bank
- Lukas Brian Hooper to Waddell & Associates, LLCJul 10, 2023 · RIA to RIA
- Hugh W Gates to Beacon Pointe Advisors, LLCMar 27, 2023 · RIA to RIA
- Jonathan D Mcalister to Kimery Wealth Management, LLCJan 22, 2020 · RIA to RIA
- Jeffrey Forrest Barnes to Gavion, LLCOct 1, 2015 · Other
- Shelly Halford Baker to Suntrust Investment Services, Inc.Sep 5, 2014 · Other
- Joseph Warren Dyal to Franklin, Parlapiano, Turner & Welch LLCJun 3, 2014 · Other
- Steven Allen Holdsworth to Advice And Planning ServicesDec 23, 2013 · Other
- David Grant Metzger to United Capital Financial AdvisorsJul 3, 2013 · Other
- Frank Stephen Reed to Td Ameritrade, Inc.May 5, 2010 · Other
- Celeste Diane Pryor to Red Door Wealth Management, LLCAug 25, 2009 · Other
- Joseph Amery Staub to Summit Asset Management LLCFeb 28, 2005 · Other
- Sarah Russell Haizlip to Summit Asset Management LLCFeb 25, 2005 · Other
Joined, latest
- E Charles Jalenak from Jalenak Capital Management, Inc.Jul 10, 2025 · Other
- Wallace Spencer Hope from Morgan Keegan & Company, LLCJun 20, 2025 · Other
- Nathan Scott Powell from Securian Financial Services, Inc.May 20, 2025 · Affiliated broker-dealer or bank to independent RIA
- Nicholas Glenn Sowell from Securian Financial Services, Inc.May 13, 2025 · Other
- James Kenneth Killebrew from Charles Schwab & Co., Inc.Jan 17, 2023 · Affiliated broker-dealer or bank to independent RIA
- Hugh W Gates from Delta Asset Management, LLCFeb 25, 2022 · RIA to RIA
- Jonathan D Mcalister from Securian Financial Services, Inc.Aug 18, 2017 · Other
- Jeffrey Forrest Barnes from Financial Telesis, Inc.Nov 6, 2013 · Other
- Shelly Halford Baker from Waddell & Associates IncOct 9, 2009 · Other
- Frank Stephen Reed from Strategic Advisers LLCJun 5, 2009 · Other
- David Grant Metzger from Zacks Investment Management, Inc.Nov 27, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Lawrence Epperly · Director Of Client Servicecontrolsince 01/2025 · owns less than 5%
- Charles E Jalenak · Directorcontrolsince 01/2025 · owns 10% to 25%
- Bell Lindsey Mazzola · Director Of Client Operationscontrolsince 05/2012 · owns 5% to 10%
- L Duncan Miller · President & Ceocontrolsince 01/2022 · owns 10% to 25%
- L Hallie Peyton · Directorcontrolsince 01/2025 · owns 5% to 10%
- Jeanne Rebecca Rawlinson · Director Of Client Servicecontrolsince 01/2025 · owns 5% to 10%
- Keith Robin Sievers · Managing Directorcontrolsince 01/2025 · owns 5% to 10%
- Ann Cathy Simmons · Chief Compliance Officercontrolsince 04/2007 · owns less than 5%
- Glenn Nicholas Sowell · Director Of Financial Planningcontrolsince 10/2021 · owns less than 5%
- Edward Alan Vosburg · It Managercontrolsince 01/2013 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Memphis, Tn · principal | 16 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 13, 2026custody of client assets (Item 9.A): no on the filing of 2026-01-30, yes on the filing of 2026-03-13peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 4,507 to 4,667Jan 30, 2026 to Mar 13, 2026
- Advisory employees · 14 to 16Jan 30, 2026 to Mar 13, 2026
- Business name · LEGACY WEALTH MANAGEMENT INC to LEGACY WEALTH MANAGEMENT, LLCJan 30, 2026 to Mar 13, 2026
- Charity clients · 5 to 6Jan 30, 2026 to Mar 13, 2026
- Corporate clients · 11 to 9Jan 30, 2026 to Mar 13, 2026
- HNW clients · 610 to 674Jan 30, 2026 to Mar 13, 2026
- Assets in custody · $200M to $210MJan 30, 2026 to Mar 13, 2026
- Custody of client assets · false to trueJan 30, 2026 to Mar 13, 2026
- Employees · 21 to 22Jan 30, 2026 to Mar 13, 2026
- State-registered IARs · 14 to 16Jan 30, 2026 to Mar 13, 2026
- Organization form · Corporation to Limited Liability CompanyJan 30, 2026 to Mar 13, 2026
- Discretionary RAUM · $2.2B to $2.5BJan 30, 2026 to Mar 13, 2026
- HNW RAUM · $1.8B to $2.1BJan 30, 2026 to Mar 13, 2026
- Individual RAUM · $325M to $323MJan 30, 2026 to Mar 13, 2026
- Non-discretionary RAUM · $133M to $141MJan 30, 2026 to Mar 13, 2026
- Pension RAUM · $6.7M to $7.5MJan 30, 2026 to Mar 13, 2026
- RAUM · $2.4B to $2.7BJan 30, 2026 to Mar 13, 2026
- Succession · false to trueMar 10, 2025 to Jan 30, 2026
- Accounts · 4,258 to 4,507Sep 9, 2024 to Mar 10, 2025
- Advisory employees · 15 to 14Sep 9, 2024 to Mar 10, 2025
- HNW clients · 535 to 610Sep 9, 2024 to Mar 10, 2025
- Individual clients · 798 to 786Sep 9, 2024 to Mar 10, 2025
- Assets in custody · $171M to $200MSep 9, 2024 to Mar 10, 2025
- Financial planning clients · More than 500 to More than 500Sep 9, 2024 to Mar 10, 2025
- State-registered IARs · 15 to 14Sep 9, 2024 to Mar 10, 2025
- Discretionary RAUM · $2.0B to $2.2BSep 9, 2024 to Mar 10, 2025
- HNW RAUM · $1.5B to $1.8BSep 9, 2024 to Mar 10, 2025
- Individual RAUM · $322M to $325MSep 9, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $97.2M to $133MSep 9, 2024 to Mar 10, 2025
- Pension RAUM · $6.1M to $6.7MSep 9, 2024 to Mar 10, 2025
- RAUM · $2.1B to $2.4BSep 9, 2024 to Mar 10, 2025
- Accounts · 4,064 to 4,258Mar 27, 2023 to Mar 8, 2024
- Advisory employees · 17 to 15Mar 27, 2023 to Mar 8, 2024
- Corporate clients · 9 to 11Mar 27, 2023 to Mar 8, 2024
- HNW clients · 463 to 535Mar 27, 2023 to Mar 8, 2024
- Individual clients · 829 to 798Mar 27, 2023 to Mar 8, 2024
- Assets in custody · $143M to $171MMar 27, 2023 to Mar 8, 2024
- Employees · 23 to 21Mar 27, 2023 to Mar 8, 2024
- State-registered IARs · 17 to 15Mar 27, 2023 to Mar 8, 2024
- Discretionary RAUM · $1.7B to $2.0BMar 27, 2023 to Mar 8, 2024
Signals
10 dated events
- Legacy Wealth Management Inc reported succeeding to the business of Legacy Wealth Management Inc (Form ADV Item 4)Jan 30, 2026 · Succession (Item 4) · fact
- Gabriel Hussein Douba left Legacy Wealth Management, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-03-13)Jun 25, 2025 · Advisor changed firm · fact
- Edward Alan Vosburg (It Manager) appeared on Schedule A of Legacy Wealth Management, LlcSep 9, 2024 · Control person joined · fact
- J. James Isaacs (Chairman) no longer on Schedule A of Legacy Wealth Management, Llc (listed 2024-03-08, absent 2024-09-09)Sep 9, 2024 · Control person left · inference
- James Lawrence Epperly (Director Of Portfolio Management) appeared on Schedule A of Legacy Wealth Management, LlcMar 8, 2024 · Control person joined · fact
- Glenn Nicholas Sowell (Director Of Financial Planning) appeared on Schedule A of Legacy Wealth Management, LlcMar 8, 2024 · Control person joined · fact
- James Kenneth Killebrew left Legacy Wealth Management, Llc for Charles Schwab & Co., Inc. (registered 2023-08-10)Jul 18, 2023 · Advisor changed firm · fact
- Lukas Brian Hooper left Legacy Wealth Management, Llc for Waddell & Associates, Llc (registered 2023-11-20)Jul 10, 2023 · Advisor changed firm · fact
- Hugh W Gates left Legacy Wealth Management, Llc for Beacon Pointe Advisors, Llc (registered 2023-04-05)Mar 27, 2023 · Advisor changed firm · fact
- Jeanne Rebecca Rawlinson (Director Of Financial Planning) appeared on Schedule A of Legacy Wealth Management, LlcFeb 22, 2022 · 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
- legacy@legacywealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- spenceh@legacywealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 901-758-9006reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 901-758-9007reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/legacy-wealth-managementllcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- LEGACYWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 901-758-9006reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- legacywealth.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $166Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026