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.
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SEC-registered adviser
L••••• A••••••• S•••••••• L••
Latest filing Feb 27, 2026
First filing on the tape May 18, 2023 · 7 filings
SEC status approved since Jun 16, 2023
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$157M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$52.3M
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
7 filings and snapshots on the tape
RAUM$157M as of Feb 27, 2026
Mar 15, 2024$132M then
HNW client RAUM$128M as of Feb 27, 2026
Mar 15, 2024$95.5M then
State-registered IARs (5.B.3)3 as of Feb 27, 2026
Mar 15, 20243 then
Employees (5.A)3 as of Feb 27, 2026
Mar 15, 20243 then
Private funds: no history
RAUM +10% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $52.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $482,879derivedRAUM 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
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $74.7M, 72 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$128M82%
- Individuals$28.8M18%
- Individual clients
- 75reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 325reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $74.7M for 72 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• V••••••• | Exton, Pa | Jun 24, 2008 | 20 y | 1 |
| M••••• A••••• G•••••• | Exton, Pa | Jun 24, 2008 | 21 y | 1 |
| R•••••• S•••••• W••••Certified Financial Planner | Exton, Pa | Jun 24, 2008 | 28 y | 1 |
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
- A••• V••••••• from H••••••• A••••••• S•••••••• I•••Jun 24, 2008 · Other
- M••••• A••••• G•••••• from H••••••• A••••••• S•••••••• I•••Jun 24, 2008 · Other
- R•••••• S•••••• W•••• from H••••••• A••••••• S•••••••• I•••Jun 24, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• M•••••• A••••• · Owner/Chief Compliance Officercontrolsince 01/2017 · owns 25% to 50%
- V•••••••• A••• · Member/Chief Investment Officer/Investment Advisor Representativecontrolsince 01/2017 · owns 25% to 50%
- W••••• R••••••• S•••••• · Member/Managing Partner/Investment Advisor Representativecontrolsince 01/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
- L••••• W••••• M••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Exton, Pa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 27, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-14, yes on the filing of 2026-02-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 322 to 325Mar 14, 2025 to Feb 27, 2026
- HNW clients · 44 to 48Mar 14, 2025 to Feb 27, 2026
- Individual clients · 80 to 75Mar 14, 2025 to Feb 27, 2026
- Assets in custody · unset to 74693533.0Mar 14, 2025 to Feb 27, 2026
- Custody of client assets · false to trueMar 14, 2025 to Feb 27, 2026
- Discretionary RAUM · $142M to $157MMar 14, 2025 to Feb 27, 2026
- HNW RAUM · $111M to $128MMar 14, 2025 to Feb 27, 2026
- Individual RAUM · $31.2M to $28.8MMar 14, 2025 to Feb 27, 2026
- RAUM · $142M to $157MMar 14, 2025 to Feb 27, 2026
- Accounts · 341 to 322Oct 8, 2024 to Mar 14, 2025
- HNW clients · 33 to 44Oct 8, 2024 to Mar 14, 2025
- Individual clients · 97 to 80Oct 8, 2024 to Mar 14, 2025
- Financial planning clients · 101-250 to 101-250Oct 8, 2024 to Mar 14, 2025
- Discretionary RAUM · $132M to $142MOct 8, 2024 to Mar 14, 2025
- HNW RAUM · $95.5M to $111MOct 8, 2024 to Mar 14, 2025
- Individual RAUM · $36.4M to $31.2MOct 8, 2024 to Mar 14, 2025
- RAUM · $132M to $142MOct 8, 2024 to Mar 14, 2025
- Accounts · 423 to 341Jun 7, 2023 to Mar 15, 2024
- HNW clients · 27 to 33Jun 7, 2023 to Mar 15, 2024
- Individual clients · 96 to 97Jun 7, 2023 to Mar 15, 2024
- Discretionary RAUM · $112M to $132MJun 7, 2023 to Mar 15, 2024
- HNW RAUM · $76.0M to $95.5MJun 7, 2023 to Mar 15, 2024
- Individual RAUM · $35.7M to $36.4MJun 7, 2023 to Mar 15, 2024
- RAUM · $112M to $132MJun 7, 2023 to Mar 15, 2024
Signals
1 dated events
- L••••• A••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)May 18, 2023 · 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 email
- info@legacyadvisorypa.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 610-524-6801reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-524-6801reportedpublic record, Form ADV, Feb 27, 2026
- Contact form
- legacyadvisorypa.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- legacyadvisorypa.com/teamreportedpublished 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
- $52.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026