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 Advisors, LLC
Latest filing Mar 18, 2026
First filing on the tape Dec 22, 2011 · 14 filings
SEC status approved since Nov 6, 2020
RAUM
$178M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
98%
$174M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$89.2M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$178M as of Mar 18, 2026
Mar 29, 2012$62.6M then
HNW client RAUM$168M as of Mar 18, 2026
Mar 29, 2021$104M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Mar 29, 20120 then
Employees (5.A)6 as of Mar 18, 2026
Mar 29, 20217 then
Private funds: no history
RAUM +30% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
- RAUM per advisor
- $89.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $849,255derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
- High-net-worth individuals$168M96%
- Individuals$6.4M3.7%
- Individual clients
- 16reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 210reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Edwin Kyu Sung RyuPersonal Financial Specialist | San Jose, Ca | Aug 15, 2000 | 42 y | 0 |
| Elizabeth Louise Flores | Santa Cruz, Ca | Jun 11, 2020 | 24 y | 2 |
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
- Lisa Anne Furlong to LPL Financial LLCApr 29, 2010 · Other
- Gary Paul Gardner to Life&Wealth Advisors, Inc.Apr 12, 2006 · Other
Joined, latest
- Elizabeth Louise Flores from Sterling Advisory Services, LLCJun 11, 2020 · Other
- Lisa Anne Furlong from Grassi Investment Management, LLCApr 3, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kyu Sung Edwin Ryu · Member/Chief Compliance Officercontrolsince 12/1999 · owns 75% or more
Related persons
Schedule D 7.A
- Elizabeth L. Floresinsurancey
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 198 to 210Mar 28, 2025 to Mar 18, 2026
- HNW clients · 42 to 46Mar 28, 2025 to Mar 18, 2026
- Individual clients · 13 to 16Mar 28, 2025 to Mar 18, 2026
- Discretionary RAUM · $130M to $168MMar 28, 2025 to Mar 18, 2026
- HNW RAUM · $129M to $168MMar 28, 2025 to Mar 18, 2026
- Individual RAUM · $4.8M to $6.4MMar 28, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $7.3M to $10.0MMar 28, 2025 to Mar 18, 2026
- RAUM · $137M to $178MMar 28, 2025 to Mar 18, 2026
- Accounts · 189 to 198Mar 26, 2024 to Mar 28, 2025
- Advisory employees · 5 to 4Mar 26, 2024 to Mar 28, 2025
- HNW clients · 41 to 42Mar 26, 2024 to Mar 28, 2025
- Individual clients · 10 to 13Mar 26, 2024 to Mar 28, 2025
- Employees · 7 to 6Mar 26, 2024 to Mar 28, 2025
- Insurance-licensed employees · 1 to 0Mar 26, 2024 to Mar 28, 2025
- Financial planning clients · 26-50 to 26-50Mar 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $117M to $130MMar 26, 2024 to Mar 28, 2025
- HNW RAUM · $115M to $129MMar 26, 2024 to Mar 28, 2025
- Individual RAUM · $4.0M to $4.8MMar 26, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $4.7M to $7.3MMar 26, 2024 to Mar 28, 2025
- RAUM · $122M to $137MMar 26, 2024 to Mar 28, 2025
- Advisory employees · 4 to 5Mar 24, 2023 to Mar 26, 2024
- HNW clients · 34 to 41Mar 24, 2023 to Mar 26, 2024
- Individual clients · 17 to 10Mar 24, 2023 to Mar 26, 2024
- Discretionary RAUM · $103M to $117MMar 24, 2023 to Mar 26, 2024
- HNW RAUM · $97.3M to $115MMar 24, 2023 to Mar 26, 2024
- Individual RAUM · $7.4M to $4.0MMar 24, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $4.1M to $4.7MMar 24, 2023 to Mar 26, 2024
- RAUM · $108M to $122MMar 24, 2023 to Mar 26, 2024
- Accounts · 187 to 189Mar 29, 2022 to Mar 24, 2023
- HNW clients · 36 to 34Mar 29, 2022 to Mar 24, 2023
- Individual clients · 14 to 17Mar 29, 2022 to Mar 24, 2023
- Discretionary RAUM · $120M to $103MMar 29, 2022 to Mar 24, 2023
- HNW RAUM · $113M to $97.3MMar 29, 2022 to Mar 24, 2023
- Individual RAUM · $7.5M to $7.4MMar 29, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $4.1M to $4.1MMar 29, 2022 to Mar 24, 2023
- RAUM · $124M to $108MMar 29, 2022 to Mar 24, 2023
- Accounts · 180 to 187Nov 18, 2021 to Mar 29, 2022
- Individual clients · 15 to 14Nov 18, 2021 to Mar 29, 2022
- Insurance-licensed employees · 0 to 1Nov 18, 2021 to Mar 29, 2022
- Other offices · 0 to 1Nov 18, 2021 to Mar 29, 2022
Signals
1 dated events
- Legacy Wealth Advisors, Llc filed its initial SEC registration (Form ADV)Aug 24, 2020 · 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
- Business phone
- 408-452-7470reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 408-452-7700reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/legacywealthadvisorsllcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- LegacyWealthAdvisorsLLC.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (408) 452-7700reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- legacywealthadvisorsllc.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $89.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026