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
Financial Legacy Management, Nc.
Legal name Financial Legacy Management, Inc.
Latest filing Apr 7, 2026
First filing on the tape Aug 20, 2024 · 7 filings
SEC status approved since Sep 25, 2024
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$155M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$38.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$155M as of Apr 7, 2026
Mar 27, 2025$135M then
HNW client RAUM$155M as of Apr 7, 2026
Mar 27, 2025$135M then
State-registered IARs (5.B.3)2 as of Apr 7, 2026
Mar 27, 20252 then
Employees (5.A)2 as of Apr 7, 2026
Mar 27, 20252 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Apr 7, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $38.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $442,857derivedHNW RAUM over HNW clients
- Average account
- $216,783derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 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
- 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$155M100%
- Individual clients
- n/areported
- HNW clients
- 350reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 715reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Wayne KelleyCertified Financial Planner | Little Rock, Ar | Apr 7, 2026 | 26 y | 2 |
| Robin C Show | Little Rock, Ar | Apr 7, 2026 | 12 y | 1 |
| Alvin RogersCertified Financial Planner | Little Rock, Ar | Apr 7, 2026 | 28 y | 2 |
| Margaret Louise Logue | Little Rock, Ar | Apr 7, 2026 | 28 y | 3 |
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
Joined, latest
- Margaret Louise Logue from LPL Financial LLCAug 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- Alvin Rogers from Financial Decisions, Inc.Sep 18, 2006 · Other
- John Wayne Kelley from The Arkansas Financial Group, Inc.Nov 10, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Wayne John Kelley · Ceo/ Chief Compliance Officercontrolsince 07/2005 · owns 50% to 75%
- Alvin Rogers · Cfocontrolsince 01/2011 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Little Rock, Ar · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Conway, AR1 employees
What changed
consecutive filings, newest first
- Accounts · 600 to 715Mar 27, 2025 to Mar 30, 2026
- HNW clients · 300 to 350Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $135M to $155MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $135M to $155MMar 27, 2025 to Mar 30, 2026
- RAUM · $135M to $155MMar 27, 2025 to Mar 30, 2026
- Accounts · 375 to 600Sep 24, 2024 to Mar 27, 2025
- HNW clients · 275 to 300Sep 24, 2024 to Mar 27, 2025
- Financial planning clients · 26-50 to 26-50Sep 24, 2024 to Mar 27, 2025
- Discretionary RAUM · $119M to $135MSep 24, 2024 to Mar 27, 2025
- HNW RAUM · $119M to $135MSep 24, 2024 to Mar 27, 2025
- RAUM · $119M to $135MSep 24, 2024 to Mar 27, 2025
Signals
1 dated events
- Financial Legacy Management, Nc. filed its initial SEC registration (Form ADV)Aug 20, 2024 · 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
- Website
- FINANCIALLEGACYMANAGEMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 501-224-7526reportedpublic record, Form ADV, Apr 7, 2026
- Team page
- FINANCIALLEGACYMANAGEMENT.COM/Bios.htmlreportedpublished 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
- $38.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026