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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Former SEC-registered adviser

L••••• F•••••••• G••••

Former SEC-registered adviserTorrance, CaliforniaCRD 115901SEC 801-113145IAPD
Legal name L••••• F•••••••• G••••• L••
Latest filing May 26, 2020
First filing on the tape Mar 13, 2012 · 13 filings
RAUM
$75.4M
reported, Item 5.F
Discretionary
17%
of RAUM
Private clients
100%
$75.4M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$25.1M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$75.4M as of Jan 31, 2020
Mar 13, 2012$68.7M then
HNW client RAUM$26.5M as of Jan 31, 2020
Mar 22, 2019$32.2M then
State-registered IARs (5.B.3)5 as of Jan 31, 2020
Mar 13, 20120 then
Employees (5.A)6 as of Jan 31, 2020
Mar 22, 20197 then
Private funds: no history
RAUM -23% over the last fiscal yearIARs 5 to 6
Practice profile
derived from the filing of May 26, 2020; every figure names its basis
RAUM per advisor
$25.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
63derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$398,679derivedRAUM over accounts (5.F.2.f)
Discretionary
17%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-23%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-26%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$48.8M65%
  • High-net-worth individuals$26.5M35%
Individual clients
174reported
HNW clients
15reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
189reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••••• C•••• T•••••Certified Financial PlannerCamarillo, Ca Nov 9, 200136 y0
A•• A••• C•••••Certified Financial PlannerTorrance, CaJan 7, 201513 y0
M•••••• J• D••••Torrance, CaJan 6, 201723 y3
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 headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • T•••••• D•••••• E•••• · Member/Chief Compliance Officercontrol
      since 11/2005 · owns less than 5%
    • T•••••• M••••••• C•••• · Managing Membercontrol
      since 11/2005 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Torrance, Ca · principal300
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 5 to 6
      May 15, 2020 to May 26, 2020
    • Advisory employees · 4 to 5
      Apr 3, 2020 to May 12, 2020
    • Employees · 6 to 9
      Apr 3, 2020 to May 12, 2020
    • State-registered IARs · 5 to 6
      Mar 11, 2020 to Apr 3, 2020
    • Accounts · 391 to 189
      Mar 22, 2019 to Jan 31, 2020
    • HNW clients · 20 to 15
      Mar 22, 2019 to Jan 31, 2020
    • Individual clients · 237 to 174
      Mar 22, 2019 to Jan 31, 2020
    • Employees · 7 to 6
      Mar 22, 2019 to Jan 31, 2020
    • Discretionary RAUM · $10.0M to $12.8M
      Mar 22, 2019 to Jan 31, 2020
    • HNW RAUM · $32.2M to $26.5M
      Mar 22, 2019 to Jan 31, 2020
    • Individual RAUM · $66.1M to $48.8M
      Mar 22, 2019 to Jan 31, 2020
    • Non-discretionary RAUM · $88.4M to $62.5M
      Mar 22, 2019 to Jan 31, 2020
    • RAUM · $98.3M to $75.4M
      Mar 22, 2019 to Jan 31, 2020
    • Accounts · 397 to 391
      Nov 7, 2018 to Mar 22, 2019
    • HNW clients · 27 to 20
      Nov 7, 2018 to Mar 22, 2019
    • Discretionary RAUM · $7.5M to $10.0M
      Nov 7, 2018 to Mar 22, 2019
    • HNW RAUM · $40.3M to $32.2M
      Nov 7, 2018 to Mar 22, 2019
    • Individual RAUM · $74.4M to $66.1M
      Nov 7, 2018 to Mar 22, 2019
    • Non-discretionary RAUM · $107M to $88.4M
      Nov 7, 2018 to Mar 22, 2019
    • RAUM · $115M to $98.3M
      Nov 7, 2018 to Mar 22, 2019
    • Accounts · 288 to 397
      Jun 6, 2012 to Apr 4, 2018
    • Advisory employees · unset to 4.0
      Jun 6, 2012 to Apr 4, 2018
    • BD registered reps · unset to 6.0
      Jun 6, 2012 to Apr 4, 2018
    • HNW clients · unset to 27.0
      Jun 6, 2012 to Apr 4, 2018
    • Individual clients · unset to 237.0
      Jun 6, 2012 to Apr 4, 2018
    • Employees · unset to 7.0
      Jun 6, 2012 to Apr 4, 2018
    • State-registered IARs · 0 to 5
      Jun 6, 2012 to Apr 4, 2018
    • Other offices · unset to 0.0
      Jun 6, 2012 to Apr 4, 2018
    • Discretionary RAUM · $0 to $7.5M
      Jun 6, 2012 to Apr 4, 2018
    • HNW RAUM · unset to 40257643.0
      Jun 6, 2012 to Apr 4, 2018
    • Individual RAUM · unset to 74416594.0
      Jun 6, 2012 to Apr 4, 2018
    • Non-discretionary RAUM · $68.7M to $107M
      Jun 6, 2012 to Apr 4, 2018
    • RAUM · $68.7M to $115M
      Jun 6, 2012 to Apr 4, 2018
    Signals
    2 dated events
    • Ray Day (Managing Director) no longer on Schedule A of L••••• F•••••••• G•••• (listed 2018-11-07, absent 2019-03-22)
      Mar 22, 2019 · Control person left · inference
    • L••••• F•••••••• G•••• filed its initial SEC registration (Form ADV)
      Apr 4, 2018 · First SEC registration · 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
    Firm profile
    linkedin.com/company/legacy-financial-group-llcreportedpublic record, Form ADV, Sep 18, 2026
    Website
    LEGFINGRP.COMreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $25.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026