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••••• F•••••••• G••••
Legal name L••••• F•••••••• G••••• L••
Latest filing May 18, 2026
First filing on the tape May 19, 2014 · 61 filings
SEC status approved since May 29, 2014
RAUM
$1.0B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$998M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
18
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
61 filings and snapshots on the tape
RAUM$1.0B as of May 18, 2026
Feb 17, 2015$157M then
HNW client RAUM$686M as of May 18, 2026
Mar 8, 2018$100M then
State-registered IARs (5.B.3)8 as of May 18, 2026
Feb 17, 20153 then
Employees (5.A)18 as of May 18, 2026
Feb 17, 20157 then
Private funds: no history
RAUM +20% over the last fiscal year+19% a year over threeIARs 9 to 8
Practice profile
derived from the filing of May 18, 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
- RAUM per advisor
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 181derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $243,023derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.6%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $108M, 444 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates non-employees for client referrals (8.G.2)
- 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$686M68%
- Individuals$312M31%
- Corporations and businesses$9.3M0.9%
- Individual clients
- 1,136reported
- HNW clients
- 314reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4,146reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $108M for 444 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• J••••• H•••Certified Financial Planner | Des Moines, Ia | Sep 1, 2010 | 38 y | 2 |
| S•••• R• A•••••• | Des Moines, Ia | Mar 7, 2012 | 16 y | 1 |
| R••••• E••••• W••• | Des Moines, Ia | Jul 25, 2016 | 21 y | 1 |
| W•••••• B•••• E••••Certified Financial Planner | Des Moines, Ia | Jul 26, 2016 | 38 y | 3 |
| S•••• A••••• N••••• | Des Moines, Ia | Sep 15, 2017 | 11 y | 0 |
| T••••• L••• S•••• | Des Moines, Ia | Dec 13, 2018 | 18 y | 2 |
| N••••••• W•••••• H•••••• | Des Moines, Ia | Feb 7, 2023 | 11 y | 0 |
| A•••••• G•••••• | Des Moines, Ia | Dec 1, 2023 | 10 y | 1 |
| E••• B•••• | Des Moines, Ia | Jun 16, 2026 | 12 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount1 left over 36 months
Left, latest
- C••• W••••• T•••• to N•••••• W••••• M•••••••••Nov 3, 2025 · RIA to RIA
- J••••• T••••••• L••••••••• to L••••••••• F•••••••• S•••••••Oct 3, 2022 · RIA to a state-registered adviser
- B••••••• M•••• V•••••••• to L••••••••• F•••••••• S•••••••Oct 3, 2022 · RIA to a state-registered adviser
- D••• J••••••• to P•••••••• A•••••• S•••••••Jul 1, 2021 · RIA to RIA
- A••• M•••••• M•••••• to S••••••••• A•••••• A•••••••• I•••Oct 24, 2019 · RIA to affiliated broker-dealer or bank
- T•••• P•••••• C••••• to S••••••• S•••••Apr 22, 2019 · RIA to RIA
- M•••••• F•••••• B••••••• to I••• H•••• W••••• M••••••••• L••Mar 2, 2017 · Other
- J•••• A• L••••••• to I••• H•••• W••••• M••••••••• L••Mar 2, 2017 · Other
- M•••••• D••• H••••• to A•••••• A••••••• S•••••••Aug 9, 2012 · Other
Joined, latest
- E••• B•••• from B••••• C•••••• M••••••••• I•••Jun 16, 2026 · RIA to RIA
- A•••••• G•••••• from A••••••••• F•••••••• S•••••••• L••Dec 1, 2023 · Affiliated broker-dealer or bank to independent RIA
- C••• W••••• T•••• from A••••••••• F•••••••• S•••••••• L••Sep 21, 2020 · Affiliated broker-dealer or bank to independent RIA
- A••• M•••••• M•••••• from E••••• J••••May 23, 2019 · Affiliated broker-dealer or bank to independent RIA
- T••••• L••• S•••• from P••••••• F•••••••• G••••• I•••Dec 13, 2018 · RIA to RIA
- J••••• T••••••• L••••••••• from S••••• F•••••••• G•••• I••Apr 20, 2017 · Other
- W•••••• B•••• E•••• from V•• A••••••• S•••••••Jul 26, 2016 · Other
- R••••• E••••• W••• from V•• A••••••• S•••••••Jul 25, 2016 · Other
- S•••• R• A•••••• from L•• F•••••••• L••Mar 7, 2012 · Other
- M•••••• D••• H••••• from L•• F•••••••• L••Aug 22, 2011 · Other
- B•••• J••••• H••• from L••••• P••••••• G••••Sep 1, 2010 · Other
- M•••••• F•••••• B••••••• from L•• F•••••••• L••Sep 1, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for L••••••••• F•••••••• S•••••••Oct 3, 2022 · Des Moines, Ia
- 2 left for I••• H•••• W••••• M••••••••• L••Mar 2, 2017 · Des Moines, Ia
- 2 joined from V•• A••••••• S•••••••Jul 25, 2016 · Overland Park, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• S••••• R• · Partner Advisorcontrolsince 04/2022 · owns less than 5%
- E••••• W••••••• B•••• · Partner Advisorcontrolsince 12/2015 · owns less than 5%
- H•••• B••••• J••••• · Partner Advisorcontrolsince 12/2015 · owns less than 5%
- N•••••• S••••• A••••• · Partner Advisorcontrolsince 07/2023 · owns less than 5%
- T••••• C•••• W••••• · Chief Executive Officer And Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- W•••• R•••••• E••••• · Partner Advisorcontrolsince 01/2020 · owns less than 5%
- E••••• W••••••• B•••• · Part Ownercontrolsince 01/2017 · owns 25% to 50% of S••••••• W••••• A•••••••• I•••
- H•••• B••••• J••••• · Part Ownercontrolsince 01/2017 · owns 25% to 50% of S••••••• W••••• A•••••••• I•••
- M•••••••• M•••••••• A••• · Chief Compliance Officersince 10/2025 · owns less than 5%
Entity owners
- S••••••• W••••• A•••••••• I••• · Holding Companydirect · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Des Moines, Ia · principal | 8 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 18, 2026T••••• C•••• W••••• (CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2021-02-16 and 2026-05-18peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing May 18, 2026A••••••• S••••• R• (PARTNER ADVISOR) appeared on Schedule A between the filings of 2021-02-16 and 2026-05-18peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing May 18, 2026N•••••• S••••• A••••• (PARTNER ADVISOR) appeared on Schedule A between the filings of 2021-02-16 and 2026-05-18peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing May 18, 2026W•••• R•••••• E••••• (PARTNER ADVISOR) appeared on Schedule A between the filings of 2021-02-16 and 2026-05-18peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 3,763 to 4,146Oct 22, 2025 to Mar 25, 2026
- Advisory employees · 13 to 11Oct 22, 2025 to Mar 25, 2026
- BD registered reps · 5 to 3Oct 22, 2025 to Mar 25, 2026
- Corporate clients · unset to 2.0Oct 22, 2025 to Mar 25, 2026
- HNW clients · 240 to 314Oct 22, 2025 to Mar 25, 2026
- Individual clients · 1,233 to 1,136Oct 22, 2025 to Mar 25, 2026
- Assets in custody · $144M to $108MOct 22, 2025 to Mar 25, 2026
- Financial planning clients · 101-250 to 51-100Oct 22, 2025 to Mar 25, 2026
- State-registered IARs · 9 to 8Oct 22, 2025 to Mar 25, 2026
- Discretionary RAUM · $839M to $996MOct 22, 2025 to Mar 25, 2026
- HNW RAUM · $508M to $686MOct 22, 2025 to Mar 25, 2026
- Individual RAUM · $333M to $312MOct 22, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $1.3M to $11.9MOct 22, 2025 to Mar 25, 2026
- RAUM · $840M to $1.0BOct 22, 2025 to Mar 25, 2026
- Related insurance company · false to trueAug 7, 2025 to Oct 22, 2025
- Financial planning clients · 101-250 to 101-250Feb 20, 2025 to Mar 21, 2025
- Accounts · 3,807 to 3,763Dec 23, 2024 to Feb 20, 2025
- HNW clients · 218 to 240Dec 23, 2024 to Feb 20, 2025
- Individual clients · 1,141 to 1,233Dec 23, 2024 to Feb 20, 2025
- Assets in custody · unset to 144270035.0Dec 23, 2024 to Feb 20, 2025
- Custody of client assets · false to trueDec 23, 2024 to Feb 20, 2025
- Discretionary RAUM · $726M to $839MDec 23, 2024 to Feb 20, 2025
- HNW RAUM · $420M to $508MDec 23, 2024 to Feb 20, 2025
- Individual RAUM · $306M to $333MDec 23, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $0 to $1.3MDec 23, 2024 to Feb 20, 2025
- RAUM · $726M to $840MDec 23, 2024 to Feb 20, 2025
- Accounts · 3,871 to 3,807Oct 30, 2023 to Jan 30, 2024
- Advisory employees · 11 to 13Oct 30, 2023 to Jan 30, 2024
- BD registered reps · 6 to 5Oct 30, 2023 to Jan 30, 2024
- HNW clients · 173 to 218Oct 30, 2023 to Jan 30, 2024
- Individual clients · 1,099 to 1,141Oct 30, 2023 to Jan 30, 2024
- Employees · 16 to 18Oct 30, 2023 to Jan 30, 2024
- State-registered IARs · 6 to 9Oct 30, 2023 to Jan 30, 2024
- Discretionary RAUM · $603M to $726MOct 30, 2023 to Jan 30, 2024
- HNW RAUM · $322M to $420MOct 30, 2023 to Jan 30, 2024
- Individual RAUM · $282M to $306MOct 30, 2023 to Jan 30, 2024
- Non-discretionary RAUM · $1.3M to $0Oct 30, 2023 to Jan 30, 2024
- RAUM · $605M to $726MOct 30, 2023 to Jan 30, 2024
- Wrap assets (manager) · 1079698.0 to unsetMar 21, 2023 to Mar 29, 2023
- Wrap assets (sponsor) · 1079698.0 to unsetMar 21, 2023 to Mar 29, 2023
Signals
11 dated events
- E••• B•••• no longer holds an investment adviser registration (last listed at L••••• F•••••••• G•••• on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- C••• W••••• T•••• left L••••• F•••••••• G•••• for N•••••• W••••• M••••••••• (registered 2026-04-01)Nov 3, 2025 · Advisor changed firm · fact
- B••••••• M•••• V•••••••• left L••••• F•••••••• G•••• for L••••••••• F•••••••• S••••••• (registered 2022-05-06)Oct 3, 2022 · Advisor changed firm · fact
- J••••• T••••••• L••••••••• left L••••• F•••••••• G•••• for L••••••••• F•••••••• S••••••• (registered 2022-05-06)Oct 3, 2022 · Advisor changed firm · fact
- 2 advisors left L••••• F•••••••• G•••• (Des Moines, IA) for L••••••••• F•••••••• S••••••• on the same dayOct 3, 2022 · Team lift-out · derived
- R S•••• A•••••• (Chief Compliance Officer) no longer on Schedule A of L••••• F•••••••• G•••• (listed 2020-11-04, absent 2021-02-16)Feb 16, 2021 · Control person left · inference
- Wesley Chad Terry (Chief Executive Officer And Chief Compliance Officer) appeared on Schedule A of L••••• F•••••••• G••••Feb 16, 2021 · Control person joined · fact
- L••••• F•••••••• G•••• reported RAUM $489.0M, up 30% from $376.9M (2019-11-13 to 2020-03-17)Mar 17, 2020 · RAUM change · derived
- Dotterer Mary Pitcher (Chief Compliance Officer) no longer on Schedule A of L••••• F•••••••• G•••• (listed 2018-12-14, absent 2019-03-14)Mar 14, 2019 · Control person left · inference
- R S•••• A•••••• (Chief Compliance Officer) appeared on Schedule A of L••••• F•••••••• G••••Mar 14, 2019 · Control person joined · fact
- L••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)May 19, 2014 · 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
- 515-255-3306reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 515-277-3133reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-616-4392reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- legacyonline.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 515-255-3306reportedpublic record, Form ADV, May 18, 2026
- Contact form
- lfgplanners.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026