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

Wealth Legacy Institute, Inc.

Former SEC-registered adviserDenver, ColoradoCRD 144152SEC 801-111847IAPD
Latest filing Feb 6, 2024
First filing on the tape Sep 13, 2017 · 13 filings
RAUM
$197M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$197M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$197M as of Feb 6, 2024
Mar 8, 2018$107M then
HNW client RAUM$128M as of Feb 6, 2024
Mar 8, 2018$87.5M then
State-registered IARs (5.B.3)3 as of Feb 6, 2024
Mar 8, 20181 then
Employees (5.A)3 as of Feb 6, 2024
Mar 8, 20182 then
Private funds: no history
RAUM +13% over the last fiscal year+7.1% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 6, 2024; every figure names its basis
RAUM per advisor
$65.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$401,979derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$128M65%
  • Individuals$68.8M35%
  • Other investment advisers$671,7870.3%
Individual clients
75reported
HNW clients
39reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
491reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
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
    • Louise Kimberly Curtis · Managing Member/Chief Compliance Officercontrol
      since 08/2007 · owns 75% or more
    • Michael Justin Hobbs · Shareholder
      since 01/2022 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Denver, Co · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 110 to 491
      Mar 7, 2023 to Feb 6, 2024
    • Advisory employees · 2 to 3
      Mar 7, 2023 to Feb 6, 2024
    • Advisory activities · 5 to 3
      Mar 7, 2023 to Feb 6, 2024
    • BD registered reps · 3 to 0
      Mar 7, 2023 to Feb 6, 2024
    • HNW clients · 40 to 39
      Mar 7, 2023 to Feb 6, 2024
    • Individual clients · 74 to 75
      Mar 7, 2023 to Feb 6, 2024
    • Assets in custody · 41636452.0 to unset
      Mar 7, 2023 to Feb 6, 2024
    • Custody of client assets · true to false
      Mar 7, 2023 to Feb 6, 2024
    • Financial planning clients · 26-50 to 101-250
      Mar 7, 2023 to Feb 6, 2024
    • Discretionary RAUM · $175M to $197M
      Mar 7, 2023 to Feb 6, 2024
    • HNW RAUM · $139M to $128M
      Mar 7, 2023 to Feb 6, 2024
    • Individual RAUM · $34.9M to $68.8M
      Mar 7, 2023 to Feb 6, 2024
    • RAUM · $175M to $197M
      Mar 7, 2023 to Feb 6, 2024
    • Accounts · 476 to 110
      Dec 2, 2022 to Mar 7, 2023
    • BD registered reps · 0 to 3
      Dec 2, 2022 to Mar 7, 2023
    • HNW clients · 43 to 40
      Dec 2, 2022 to Mar 7, 2023
    • Individual clients · 76 to 74
      Dec 2, 2022 to Mar 7, 2023
    • Employees · 4 to 3
      Dec 2, 2022 to Mar 7, 2023
    • Financial planning clients · 101-250 to 26-50
      Dec 2, 2022 to Mar 7, 2023
    • State-registered IARs · 2 to 3
      Dec 2, 2022 to Mar 7, 2023
    • Discretionary RAUM · $190M to $175M
      Dec 2, 2022 to Mar 7, 2023
    • HNW RAUM · $152M to $139M
      Dec 2, 2022 to Mar 7, 2023
    • Individual RAUM · $37.9M to $34.9M
      Dec 2, 2022 to Mar 7, 2023
    • RAUM · $190M to $175M
      Dec 2, 2022 to Mar 7, 2023
    • Advisory activities · 7 to 5
      Jun 22, 2022 to Dec 2, 2022
    • Assets in custody · unset to 41636452.0
      Jun 22, 2022 to Dec 2, 2022
    • Custody of client assets · false to true
      Jun 22, 2022 to Dec 2, 2022
    • Accounts · 490 to 476
      Feb 5, 2021 to Jan 26, 2022
    • HNW clients · 39 to 43
      Feb 5, 2021 to Jan 26, 2022
    • Individual clients · 75 to 76
      Feb 5, 2021 to Jan 26, 2022
    • Discretionary RAUM · $161M to $190M
      Feb 5, 2021 to Jan 26, 2022
    • HNW RAUM · $124M to $152M
      Feb 5, 2021 to Jan 26, 2022
    • Individual RAUM · $36.5M to $37.9M
      Feb 5, 2021 to Jan 26, 2022
    • RAUM · $161M to $190M
      Feb 5, 2021 to Jan 26, 2022
    • Accounts · 461 to 490
      Jun 18, 2020 to Feb 5, 2021
    • Discretionary RAUM · $147M to $161M
      Jun 18, 2020 to Feb 5, 2021
    • HNW RAUM · $113M to $124M
      Jun 18, 2020 to Feb 5, 2021
    • Individual RAUM · $33.3M to $36.5M
      Jun 18, 2020 to Feb 5, 2021
    • RAUM · $147M to $161M
      Jun 18, 2020 to Feb 5, 2021
    • Accounts · 440 to 461
      Jul 25, 2019 to Feb 27, 2020
    Signals
    5 dated events
    • Kimberly Louise Curtis left Wealth Legacy Institute, Inc. for Cerity Partners Llc (registered 2024-04-01)
      May 20, 2024 · Advisor changed firm · fact
    • Justin Michael Hobbs left Wealth Legacy Institute, Inc. for Cerity Partners Llc (registered 2024-04-01)
      May 20, 2024 · Advisor changed firm · fact
    • Cashel Nicole Giordano left Wealth Legacy Institute, Inc. for Cerity Partners Llc (registered 2024-04-01)
      May 20, 2024 · Advisor changed firm · fact
    • Wealth Legacy Institute, Inc.'s advisors moved to Cerity Partners LLC (Denver, CO): 3 of 3 registered, on the same day
      May 20, 2024 · Firm absorbed (people side) · derived
    • Wealth Legacy Institute, Inc. filed its initial SEC registration (Form ADV)
      Sep 13, 2017 · 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.
    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