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 Financial Advisors, Inc.
Latest filing Jul 17, 2026
First filing on the tape Nov 28, 2011 · 37 filings
SEC status approved since Aug 2, 2011
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$1.5B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
21
12 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$1.5B as of Jul 17, 2026
Jan 31, 2012$355M then
HNW client RAUM$1.3B as of Jul 17, 2026
Feb 27, 2018$353M then
State-registered IARs (5.B.3)12 as of Jul 17, 2026
Jan 31, 20120 then
Employees (5.A)21 as of Jul 17, 2026
Mar 28, 201314 then
Private funds: no history
RAUM +21% over the last fiscal year+15% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Jul 17, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $407,300derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 4.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $440M, 299 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B89%
- Individuals$161M11%
- Charitable organizations$11.7M0.8%
- Individual clients
- 579reported
- HNW clients
- 482reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 3,721reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $440M for 299 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert Clayton Scroggins | Cincinnati, Oh | Sep 1, 2011 | 28 y | 1 |
| Seth Howard SanbornCertified Financial Planner | Covington, Ky | Feb 5, 2013 | 18 y | 1 |
| Justin Kerr BrownCertified Financial Planner | Covington, Ky | Jan 30, 2014 | 20 y | 1 |
| Matthew James AquiliaCertified Financial Planner | Covington, Ky | Apr 2, 2015 | 13 y | 1 |
| Michael James McwhinnieCertified Financial Planner | Covington, Ky | Aug 3, 2018 | 25 y | 1 |
| Robert Justin KuhnheinChartered Financial Analyst | Covington, Ky | May 7, 2019 | 14 y | 1 |
| Michael Joseph Maisel | Covington, Ky | Jan 16, 2024 | 26 y | 2 |
| John Michael WildernCertified Financial Planner | Covington, Ky | May 7, 2024 | 26 y | 8 |
| Lars Edward MeimanChartered Financial Analyst | Covington, Ky | Jul 10, 2024 | 12 y | 0 |
| John Morgan Smith | Covington, Ky | Sep 9, 2024 | 27 y | 3 |
| Michael Jonathan Maisel | Covington, Ky | Sep 10, 2024 | 12 y | 1 |
| Paul Anthony Sartori | Covington, Ky | Jan 1, 2025 | 41 y | 2 |
| Mitchell James Lampert | Covington, Ky | Jan 1, 2025 | 10 y | 0 |
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
- Mark Ray Clark to Prestige Advisors Inc.Mar 8, 2022 · RIA to a state-registered adviser
- Jeffrey William Speers to Wealth Planning And Design LLCJun 11, 2019 · RIA to RIA
- Adrian Michael Schau to 1919 Investment Counsel, LLCApr 4, 2019 · RIA to RIA
Joined, latest
- Paul Anthony Sartori from Nfp Advisor Services, LLCJan 1, 2025 · Other
- Michael Jonathan Maisel from Fidelity Personal And Workplace AdvisorsSep 10, 2024 · Affiliated broker-dealer or bank to independent RIA
- John Morgan Smith from Arbor Financial Services, LLCSep 9, 2024 · RIA to RIA
- John Michael Wildern from Forvis Mazars Wealth Advisors, LLCMay 7, 2024 · RIA to RIA
- Michael Joseph Maisel from Nfp Advisor Services, LLCJan 16, 2024 · Other
- Mark Ray Clark from Wealth Planning And Design LLCJan 24, 2020 · RIA to RIA
- Robert Justin Kuhnhein from Randolph Co IncMay 7, 2019 · Other
- Michael James Mcwhinnie from Strategic Advisers LLCAug 3, 2018 · Affiliated broker-dealer or bank to independent RIA
- Matthew James Aquilia from Pnc Wealth ManagementApr 2, 2015 · Other
- Justin Kerr Brown from Strategic Advisers LLCJan 30, 2014 · Other
- Seth Howard Sanborn from Strategic Advisers LLCFeb 5, 2013 · Other
- Robert Clayton Scroggins from Nfp Advisor Services, LLCSep 1, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lee Laura Branum · Chief Operations Officercontrolsince 07/2011 · owns less than 5%
- Justin Robert Kuhnhein · Director Of Investmentscontrolsince 04/2019 · owns less than 5%
- Trent Peter Lucas · Managing Principalcontrolsince 07/2011 · owns 25% to 50%
- Joseph Michael Maisel · Ceo And Managing Principalcontrolsince 07/2011 · owns 25% to 50%
- Anthony Paul Sartori · Managing Principalcontrolsince 07/2011 · owns 25% to 50%
- G Jonathan Kasting · Chief Compliance Officersince 06/2021 · owns less than 5%
Related persons
Schedule D 7.A
- Bridge Partners, LLCreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Covington, Ky · principal | 13 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3,515 to 3,721Mar 12, 2025 to Mar 6, 2026
- HNW clients · 406 to 482Mar 12, 2025 to Mar 6, 2026
- Individual clients · 622 to 579Mar 12, 2025 to Mar 6, 2026
- Assets in custody · $370M to $440MMar 12, 2025 to Mar 6, 2026
- Financial planning clients · 251-500 to More than 500Mar 12, 2025 to Mar 6, 2026
- Discretionary RAUM · $1.3B to $1.5BMar 12, 2025 to Mar 6, 2026
- HNW RAUM · $1.1B to $1.3BMar 12, 2025 to Mar 6, 2026
- Individual RAUM · $160M to $161MMar 12, 2025 to Mar 6, 2026
- RAUM · $1.3B to $1.5BMar 12, 2025 to Mar 6, 2026
- Accounts · 4,401 to 3,515Sep 3, 2024 to Mar 12, 2025
- Advisory employees · 8 to 12Sep 3, 2024 to Mar 12, 2025
- HNW clients · 353 to 406Sep 3, 2024 to Mar 12, 2025
- Individual clients · 600 to 622Sep 3, 2024 to Mar 12, 2025
- Pension plan clients · 52.0 to unsetSep 3, 2024 to Mar 12, 2025
- Assets in custody · $729M to $370MSep 3, 2024 to Mar 12, 2025
- Employees · 17 to 21Sep 3, 2024 to Mar 12, 2025
- Financial planning clients · 1-10 to 251-500Sep 3, 2024 to Mar 12, 2025
- State-registered IARs · 8 to 12Sep 3, 2024 to Mar 12, 2025
- Other offices · 0 to 2Sep 3, 2024 to Mar 12, 2025
- Discretionary RAUM · $1.1B to $1.3BSep 3, 2024 to Mar 12, 2025
- HNW RAUM · $816M to $1.1BSep 3, 2024 to Mar 12, 2025
- Individual RAUM · $160M to $160MSep 3, 2024 to Mar 12, 2025
- Pension RAUM · 139870536.0 to unsetSep 3, 2024 to Mar 12, 2025
- RAUM · $1.1B to $1.3BSep 3, 2024 to Mar 12, 2025
- Accounts · 3,157 to 4,401Nov 15, 2023 to Mar 21, 2024
- Advisory employees · 10 to 8Nov 15, 2023 to Mar 21, 2024
- Advisory activities · 5 to 4Nov 15, 2023 to Mar 21, 2024
- BD registered reps · 1 to 0Nov 15, 2023 to Mar 21, 2024
- Charity clients · 5 to 4Nov 15, 2023 to Mar 21, 2024
- HNW clients · 318 to 353Nov 15, 2023 to Mar 21, 2024
- Individual clients · 608 to 600Nov 15, 2023 to Mar 21, 2024
- Pension plan clients · 50 to 52Nov 15, 2023 to Mar 21, 2024
- Assets in custody · $269M to $729MNov 15, 2023 to Mar 21, 2024
- Employees · 20 to 17Nov 15, 2023 to Mar 21, 2024
- State-registered IARs · 10 to 8Nov 15, 2023 to Mar 21, 2024
- Discretionary RAUM · $988M to $1.1BNov 15, 2023 to Mar 21, 2024
- HNW RAUM · $665M to $816MNov 15, 2023 to Mar 21, 2024
- Individual RAUM · $147M to $160MNov 15, 2023 to Mar 21, 2024
- Pension RAUM · $168M to $140MNov 15, 2023 to Mar 21, 2024
- RAUM · $988M to $1.1BNov 15, 2023 to Mar 21, 2024
Signals
2 dated events
- Mark Ray Clark left Legacy Financial Advisors, Inc. for Prestige Advisors Inc. (registered 2022-08-23)Mar 8, 2022 · Advisor changed firm · fact
- Justin Robert Kuhnhein (Director Of Investments) appeared on Schedule A of Legacy Financial Advisors, Inc.Sep 12, 2019 · 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@legacyfinancialadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- branum@legacyfinancialadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- eveler@legacyfinancialadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- huber@legacyfinancialadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mamaisel@legacyfinancialadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lucas@legacyfinancialadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- max@legacyfinancialadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- pour@legacyfinancialadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- tolle@legacyfinancialadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- west@legacyfinancialadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- maisel@legacyfinancialadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 859-655-3861reportedpublished 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026