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

Financial Legacy Associates

Former SEC-registered adviserChesterfield, MissouriCRD 115944SEC 801-68836IAPD
Legal name Financial Legacy Associates, LLC
Latest filing Jun 26, 2012
First filing on the tape Mar 29, 2012 · 5 filings
RAUM
$32.8M
reported, Item 5.F
Discretionary
19%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$32.8M as of Jun 26, 2012
Mar 29, 2012$32.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 26, 2012
Mar 29, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 26, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$110,269derivedRAUM over accounts (5.F.2.f)
Discretionary
19%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
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
297reported
Financial planning clients
11-25reported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Michael Caspar Unterreiner · Chief Compliance Officercontrol
    since 02/2003 · owns 75% or more
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
One filing, no change to show.
Signals
8 dated events
  • David Andrew Fingerhut left Financial Legacy Associates for Osaic Wealth, Inc. (registered 2011-01-26)
    Dec 22, 2022 · Advisor changed firm · fact
  • James David Hertzler left Financial Legacy Associates for Kestra Advisory Services, Llc (registered 2022-07-27)
    Dec 22, 2022 · Advisor changed firm · fact
  • Peter Ross Deluca no longer registered at Financial Legacy Associates; no later IA registration on IAPD
    Dec 22, 2022 · Advisor departure · fact
  • George Robert Nagel no longer registered at Financial Legacy Associates; no later IA registration on IAPD
    Dec 22, 2022 · Advisor departure · fact
  • Caspar Michael Unterreiner no longer registered at Financial Legacy Associates; no later IA registration on IAPD
    Dec 22, 2022 · Advisor departure · fact
  • Bradley Dean Graham left Financial Legacy Associates for Commonwealth Financial Network (registered 2024-01-02)
    Dec 22, 2022 · Advisor changed firm · fact
  • Daniel Gerard Shelley no longer registered at Financial Legacy Associates; no later IA registration on IAPD
    Dec 22, 2022 · Advisor departure · fact
  • Gail Marie Fernandez no longer registered at Financial Legacy Associates; no later IA registration on IAPD
    Dec 22, 2022 · Advisor departure · 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