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 Investment Strategies, LLC

STATE REGISTEREDMetairie, LouisianaCRD 117423websiteIAPD
Latest filing Mar 10, 2026
First filing on the tape Mar 10, 2026 · 1 filings
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$111M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
RAUM per advisor
$13.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
21derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$284,851derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.3derived6 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 individualsreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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
  • High-net-worth individuals$72.6M65%
  • Individuals$38.2M34%
  • Corporations and businesses$609,9600.5%
Individual clients
125reported
HNW clients
42reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
391reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
6 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Eric FenlasonChartered Financial AnalystMetairie, La May 31, 202313 y4
David Matthew CollinsHagerstown, Md Apr 3, 202432 y5
Derek Robert ThomsenCertified Financial PlannerLa Palma, Ca May 28, 202417 y1
Keith Ryan GuntherMetairie, La May 28, 202440 y1
Leonard Charles SmithMetairie, La May 28, 202440 y1
John K DawesMetairie, LaOct 17, 202510 y2
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Metairie, La · principal611
La Palma, Ca200
Baton Rouge, La0011
Whitmore Lake, Mi000
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
5 dated events
  • James William Olsen left Legacy Investment Strategies, Llc for Arkadios Wealth Advisors (registered 2026-05-27)
    Jun 12, 2026 · Advisor changed firm · fact
  • 2 advisors left Legacy Investment Strategies, LLC (Baton Rouge, LA) for Arkadios Wealth Advisors within 11 days
    Jun 1, 2026 · Team lift-out · derived
  • Justin Earl Hensel left Legacy Investment Strategies, Llc for Arkadios Wealth Advisors (registered 2026-05-25)
    Jun 1, 2026 · Advisor changed firm · fact
  • Frederick Mark Atiyeh left Legacy Investment Strategies, Llc for Lpl Financial Llc (registered 2025-05-20)
    Jun 6, 2024 · Advisor changed firm · fact
  • 4 advisors left Crown Capital Securities, L.P. (LA Palma, CA) for Legacy Investment Strategies, LLC within 15 days
    Apr 16, 2024 · Team lift-out · derived
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
Website
LEGACYINVESTMENT.NETreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
504-361-7788reportedpublic record, Form ADV, Mar 10, 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
STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 15, 2026