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 Advisors, LLC

Independent wealth managerPlymouth Meeting, PennsylvaniaCRD 139830SEC 801-66582websiteIAPD
Latest filing Mar 26, 2026
First filing on the tape Feb 28, 2012 · 51 filings
SEC status approved since Apr 11, 2006
RAUM
$5.2B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
94%
$4.9B individuals and HNW
Advisors
19
registered through the firm on IAPD
RAUM per advisor
$272M
derived; firm RAUM over IAPD count
Employees
50
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$5.2B as of Mar 26, 2026
Feb 28, 2012$420M then
HNW client RAUM$4.8B as of Mar 26, 2026
Mar 23, 2018$1.1B then
State-registered IARs (5.B.3)17 as of Mar 26, 2026
Feb 28, 20120 then
Employees (5.A)50 as of Mar 26, 2026
Mar 15, 201326 then
Private funds: no history
RAUM +24% over the last fiscal year+23% a year over threeIARs 18 to 17
Practice profile
derived from the filing of Mar 26, 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
  • UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
RAUM per advisor
$272MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$16.9MderivedHNW RAUM over HNW clients
Average account
$2.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.6derivedItem 5.A over advisors
Advisors per office
19.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
-5.6%derivedItem 5.B.3 between annual amendments
Client growth, one year
+46%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$178M, 34 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$4.8B92%
  • Corporations and businesses$163M3.2%
  • Charitable organizations$144M2.8%
  • Individuals$93.0M1.8%
Individual clients
24reported
HNW clients
282reported
Pension plan clients
n/areported
Charitable clients
6reported
Accounts
2,297reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$178M for 34 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.94 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=13.0derived
Advisors registered through the firm
19 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Thomas Richard HoltChartered Financial AnalystPlymouth Meeting, PaApr 25, 200628 y0
Michael Theodore PiotrowiczChartered Financial ConsultantPlymouth Meeting, PaJul 26, 200646 y0
John Edward KrolPlymouth Meeting, PaJul 26, 200631 y0
Vincent Albert PanviniPlymouth Meeting, PaNov 8, 200624 y0
Steven Paul MignognaPlymouth Meeting, PaOct 5, 201118 y1
Thomas Francis RileyPlymouth Meeting, PaApr 25, 201326 y1
John Mcpoland SteigerwaldCertified Financial PlannerPlymouth Meeting, PaOct 28, 201323 y1
Theodore Peter PiotrowiczChartered Financial AnalystPlymouth Meeting, PaNov 25, 201314 y0
Ryan Joseph RabinowitzPlymouth Meeting, PaJun 10, 201615 y0
Kevin Michael PiotrowiczChartered Financial AnalystPlymouth Meeting, PaAug 8, 201811 y0
Jared Uribe-SullivanCertified Financial PlannerPlymouth Meeting, PaSep 21, 201813 y0
John Keegan EinspanierCertified Financial PlannerPlymouth Meeting, PaJan 24, 202011 y5
Patrick Ryan DevlinPlymouth Meeting, PaMar 24, 202010 y1
Joseph Thomas FabrizioCertified Financial PlannerPlymouth Meeting, PaJan 12, 202111 y1
Kelly Marie HansenPlymouth Meeting, PaDec 1, 202315 y1
Robert Francis WursterPlymouth Meeting, PaApr 8, 202412 y2
Ryan David BeckerPlymouth Meeting, PaFeb 4, 202611 y0
Joshua Paul BarnesPlymouth Meeting, PaMar 2, 202610 y1
Aaron Eduard StolpenChartered Financial AnalystPlymouth Meeting, PaAug 13, 202611 y6
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 5.3% of current headcount4 left over 36 months
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K Jane Evans · Managing Member/Chief Operating Officercontrol
    since 01/2008 · owns 5% to 10%
  • Edward John Krol · Managing Membercontrol
    since 01/2008 · owns 10% to 25%
  • Albert Vincent Panvini · Managing Board Membercontrol
    since 01/2008 · owns less than 5%
  • Theodore Michael Piotrowicz · Managing Board Membercontrol
    since 01/2008 · owns less than 5%
  • Peter Theodore Piotrowicz · Managing Board Membercontrol
    since 01/2019 · owns less than 5%
  • Walter James Mccallister · Manager Of Operations
    since 01/2018 · owns less than 5%
  • Joseph Matthew Sgro · Chief Compliance Officer/Director Of Finance
    since 05/2020 · owns less than 5%
Entity owners
  • Legacy Advisors Holdings, LLC · Member
    direct · 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
Plymouth Meeting, Pa · principal1931
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
  • control person changedChange between filings · filing Mar 26, 2026
    KROL, JOHN, EDWARD (MANAGING MEMBER) left Schedule A between the filings of 2020-05-20 and 2026-03-26
    peers: independent wealth managers, $5B to $20B (289)
  • control person changedChange between filings · filing Mar 26, 2026
    EVANS, JANE, K (MANAGING MEMBER/CHIEF OPERATING OFFICER) left Schedule A between the filings of 2020-05-20 and 2026-03-26
    peers: independent wealth managers, $5B to $20B (289)
  • custody status changedChange between filings · filing Mar 26, 2026
    custody of client assets (Item 9.A): no on the filing of 2025-03-17, yes on the filing of 2026-03-26
    peers: independent wealth managers, $5B to $20B (289)
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 2,257 to 2,297
    Mar 17, 2025 to Mar 26, 2026
  • Advisory employees · 22 to 25
    Mar 17, 2025 to Mar 26, 2026
  • BD registered reps · 12 to 13
    Mar 17, 2025 to Mar 26, 2026
  • Charity clients · 5 to 6
    Mar 17, 2025 to Mar 26, 2026
  • HNW clients · 185 to 282
    Mar 17, 2025 to Mar 26, 2026
  • Individual clients · 25 to 24
    Mar 17, 2025 to Mar 26, 2026
  • Pension plan clients · 0.0 to unset
    Mar 17, 2025 to Mar 26, 2026
  • Pooled vehicle clients · 0.0 to unset
    Mar 17, 2025 to Mar 26, 2026
  • Assets in custody · $0 to $178M
    Mar 17, 2025 to Mar 26, 2026
  • Custody of client assets · false to true
    Mar 17, 2025 to Mar 26, 2026
  • Employees · 38 to 50
    Mar 17, 2025 to Mar 26, 2026
  • State-registered IARs · 18 to 17
    Mar 17, 2025 to Mar 26, 2026
  • Discretionary RAUM · $3.8B to $5.1B
    Mar 17, 2025 to Mar 26, 2026
  • HNW RAUM · $3.9B to $4.8B
    Mar 17, 2025 to Mar 26, 2026
  • Individual RAUM · $200M to $93.0M
    Mar 17, 2025 to Mar 26, 2026
  • Non-discretionary RAUM · $343M to $89.7M
    Mar 17, 2025 to Mar 26, 2026
  • Pension RAUM · 0.0 to unset
    Mar 17, 2025 to Mar 26, 2026
  • Pooled vehicle RAUM · 0.0 to unset
    Mar 17, 2025 to Mar 26, 2026
  • RAUM · $4.2B to $5.2B
    Mar 17, 2025 to Mar 26, 2026
  • Accounts · 2,101 to 2,257
    May 16, 2024 to Mar 17, 2025
  • Charity clients · 6 to 5
    May 16, 2024 to Mar 17, 2025
  • Corporate clients · 10 to 5
    May 16, 2024 to Mar 17, 2025
  • HNW clients · 175 to 185
    May 16, 2024 to Mar 17, 2025
  • Individual clients · 45 to 25
    May 16, 2024 to Mar 17, 2025
  • Financial planning clients · 251-500 to 251-500
    May 16, 2024 to Mar 17, 2025
  • Discretionary RAUM · $3.6B to $3.8B
    May 16, 2024 to Mar 17, 2025
  • HNW RAUM · $103M to $3.9B
    May 16, 2024 to Mar 17, 2025
  • Individual RAUM · $3.2B to $200M
    May 16, 2024 to Mar 17, 2025
  • Non-discretionary RAUM · $55.1M to $343M
    May 16, 2024 to Mar 17, 2025
  • RAUM · $3.6B to $4.2B
    May 16, 2024 to Mar 17, 2025
  • Advisory employees · 20 to 22
    Mar 12, 2024 to May 16, 2024
  • Employees · 36 to 38
    Mar 12, 2024 to May 16, 2024
  • State-registered IARs · 16 to 18
    Mar 12, 2024 to May 16, 2024
  • Accounts · 1,797 to 2,101
    Dec 20, 2023 to Mar 12, 2024
  • Charity clients · 0 to 6
    Dec 20, 2023 to Mar 12, 2024
  • Corporate clients · 11 to 10
    Dec 20, 2023 to Mar 12, 2024
  • HNW clients · 206 to 175
    Dec 20, 2023 to Mar 12, 2024
  • Individual clients · 32 to 45
    Dec 20, 2023 to Mar 12, 2024
  • Assets in custody · $52.0M to $0
    Dec 20, 2023 to Mar 12, 2024
  • Discretionary RAUM · $2.8B to $3.6B
    Dec 20, 2023 to Mar 12, 2024
Signals
10 dated events
  • Aaron Eduard Stolpen left Legacy Advisors, Llc for Twin Focus Capital Partners, Llc (registered 2026-04-23)
    Mar 5, 2026 · Advisor changed firm · fact
  • Legacy Advisors, Llc reported RAUM $3.6B, up 30% from $2.8B (2023-12-20 to 2024-03-12)
    Mar 12, 2024 · RAUM change · derived
  • Brian Joseph Henrysen left Legacy Advisors, Llc for Presilium Private Wealth, Llc (registered 2023-10-24)
    Dec 20, 2023 · Advisor changed firm · fact
  • Patrick Joseph Mcdermott left Legacy Advisors, Llc for Vanguard Personalized Indexing Management (registered 2025-04-07)
    Dec 20, 2023 · Advisor changed firm · fact
  • David Joseph Hill left Legacy Advisors, Llc for Lnw (registered 2022-08-09)
    Dec 20, 2023 · Advisor changed firm · fact
  • Legacy Advisors, Llc reported RAUM $2.8B, up 35% from $2.1B (2021-09-21 to 2022-03-03)
    Mar 3, 2022 · RAUM change · derived
  • Edward John Krol (Managing Member) appeared on Schedule A of Legacy Advisors, Llc
    Mar 3, 2020 · Control person joined · fact
  • Albert Vincent Panvini (Managing Member) appeared on Schedule A of Legacy Advisors, Llc
    Mar 3, 2020 · Control person joined · fact
  • K Jane Evans (Managing Member/Chief Operating Officer) appeared on Schedule A of Legacy Advisors, Llc
    Mar 3, 2020 · Control person joined · fact
  • Peter Theodore Piotrowicz (Managing Member) appeared on Schedule A of Legacy Advisors, Llc
    Mar 3, 2020 · Control person joined · 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 email
info@legacyadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
aromans@legacyadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
auffelman@legacyadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
brodgers@legacyadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
cbastian@legacyadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
abenedict@legacyadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
cfaulkner@legacyadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
dkeller@legacyadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
ebrabson@legacyadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
gvicari@legacyadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
jbaird@legacyadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
jbraun@legacyadvice.comreportedpublished by the firm, firm site, Sep 15, 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
$272Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026