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 Strategies, LLC
Latest filing Jul 21, 2026
First filing on the tape May 27, 2016 · 43 filings
SEC status approved since Jul 1, 2016
RAUM
$952M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
81%
$775M individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$73.2M
derived; firm RAUM over IAPD count
Employees
16
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$952M as of Jul 21, 2026
Mar 29, 2017$196M then
HNW client RAUM$639M as of Jul 21, 2026
Mar 30, 2018$122M then
State-registered IARs (5.B.3)8 as of Jul 21, 2026
Mar 29, 20179 then
Employees (5.A)16 as of Jul 21, 2026
Mar 29, 201711 then
Private funds: no history
RAUM +18% over the last fiscal year+23% a year over threeIARs 10 to 8
Practice profile
derived from the filing of Jul 21, 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)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $73.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $455,519derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $47.0M, 41 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)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$639M67%
- Pension and profit-sharing plans$155M16%
- Individuals$136M14%
- Corporations and businesses$14.0M1.5%
- Charitable organizations$8.7M0.9%
- Individual clients
- 331reported
- HNW clients
- 304reported
- Pension plan clients
- 61reported
- Charitable clients
- n/areported
- Accounts
- 2,090reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $47.0M for 41 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.17 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 |
|---|---|---|---|---|
| Michael Voorhees WrenCertified Financial Planner | Overland Park, Ks | Aug 18, 2016 | 25 y | 2 |
| Samuel Lee Murray | Overland Park, Ks | Aug 18, 2016 | 12 y | 1 |
| David Patrick DwyerCertified Financial Planner | Overland Park, Ks | Apr 6, 2017 | 21 y | 1 |
| Jacob Andrew WattsCertified Financial Planner | Overland Park, Ks | Apr 6, 2017 | 20 y | 1 |
| Christopher David Proctor | Overland Park, Ks | May 8, 2018 | 28 y | 1 |
| Andrew David RogersCertified Financial Planner | Overland Park, Ks | Nov 6, 2019 | 12 y | 2 |
| Joseph Kenneth NafzigerCertified Financial Planner | Overland Park, Ks | Jan 19, 2021 | 13 y | 1 |
| Jeffrey Dean HrabeCertified Financial Planner | Overland Park, Ks | Jan 5, 2022 | 18 y | 3 |
| Michelle Leann GreenCertified Financial Planner | Overland Park, Ks | Jul 28, 2023 | 17 y | 0 |
| Bryce CoyCertified Financial Planner | Overland Park, Ks | Jan 22, 2024 | 10 y | 2 |
| Brooklyn Rose MaldonadoCertified Financial Planner | Overland Park, Ks | Jun 13, 2024 | 12 y | 1 |
| Ellea Marie StarkelCertified Financial Planner | Overland Park, Ks | Feb 13, 2025 | 13 y | 1 |
| Paige Gordon | Overland Park, Ks | Jun 22, 2026 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Jordan Kasey Priddy to Buckingham Strategic Wealth, LLCOct 25, 2023 · RIA to RIA
- Allison Margaret Cooley to Mana Financial Life DesignDec 7, 2020 · RIA to RIA
- Dane Broadie to Allstate Financial Advisors, LLCOct 3, 2019 · RIA to affiliated broker-dealer or bank
- Cory Mason Mcpherson to Proactive Capital Management, Inc.Aug 9, 2018 · RIA to RIA
- Brenda Ford Richman to Nova R Wealth, Inc.Jul 3, 2017 · Other
Joined, latest
- Paige Gordon from Cgn Advisors, LLCJun 22, 2026 · RIA to RIA
- Ellea Marie Starkel from Sjhl Financial GroupFeb 13, 2025 · RIA to RIA
- Brooklyn Rose Maldonado from Stepp & Rothwell IncJun 13, 2024 · RIA to RIA
- Bryce Coy from Pruco Securities, LLCJan 22, 2024 · Affiliated broker-dealer or bank to independent RIA
- Jeffrey Dean Hrabe from Cavanal Hill Investment Management, Inc.Jan 5, 2022 · Other
- Joseph Kenneth Nafziger from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 19, 2021 · Wirehouse to independent RIA
- Andrew David Rogers from LPL Financial LLCNov 6, 2019 · Affiliated broker-dealer or bank to independent RIA
- Christopher David Proctor from Morgan Stanley Dw Inc.May 8, 2018 · Other
- Dane Broadie from LPL Financial LLCSep 6, 2017 · Other
- Cory Mason Mcpherson from Ae Wealth Management, LLCJul 7, 2017 · Other
- David Patrick Dwyer from Ameriprise Financial Services, LLCApr 6, 2017 · Other
- Jacob Andrew Watts from Ameriprise Financial Services, LLCApr 6, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Ameriprise Financial Services, LLCApr 3, 2017 · Leawood, Ks
- 3 joined from Legacy Financial Strategies, LLCDec 16, 2016 · Overland Park, Ks · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Marae Bethany Leiker · Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- David Christopher Proctor · Minority Owner / Principal / Chief Financial Officer / Chief Investment Officercontrolsince 05/2018 · owns 10% to 25%
- Voorhees Michael Wren · Controlling Owner / Ceo / Principal / Iarcontrolsince 03/2015 · owns 25% to 50%
- Patrick David Dwyer · Minority Owner / Principalsince 04/2018 · owns 10% to 25%
- Dean Jeffrey Hrabe · Minority Owner/Principalsince 12/2024 · owns less than 5%
- Kenneth Joseph Nafziger · Minority Owner/Principalsince 12/2024 · owns less than 5%
- David Andrew Rogers · Minority Owner / Principalsince 01/2023 · owns 10% to 25%
- Andrew Jacob Watts · Minority Owner / Principalsince 04/2018 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Overland Park, Ks · principal | 13 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Wichita, KS1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Feb 24, 2026discretionary share of RAUM moved from 99.0% to 84.0% between the annual amendments of 2025-03-14 and 2026-02-24peers: independent wealth managers, $500M to $1B (1,483)
What changed
consecutive filings, newest first
- Accounts · 2,014 to 2,090Mar 14, 2025 to Feb 24, 2026
- HNW clients · 292 to 304Mar 14, 2025 to Feb 24, 2026
- Individual clients · 335 to 331Mar 14, 2025 to Feb 24, 2026
- Pension plan clients · 60 to 61Mar 14, 2025 to Feb 24, 2026
- Assets in custody · $35.5M to $47.0MMar 14, 2025 to Feb 24, 2026
- Financial planning clients · 251-500 to More than 500Mar 14, 2025 to Feb 24, 2026
- State-registered IARs · 10 to 8Mar 14, 2025 to Feb 24, 2026
- Discretionary RAUM · $801M to $795MMar 14, 2025 to Feb 24, 2026
- HNW RAUM · $534M to $639MMar 14, 2025 to Feb 24, 2026
- Individual RAUM · $116M to $136MMar 14, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $5.5M to $157MMar 14, 2025 to Feb 24, 2026
- Pension RAUM · $136M to $155MMar 14, 2025 to Feb 24, 2026
- RAUM · $806M to $952MMar 14, 2025 to Feb 24, 2026
- Financial planning clients · 251-500 to 251-500Mar 4, 2025 to Mar 14, 2025
- Accounts · 1,921 to 2,014Nov 22, 2024 to Mar 4, 2025
- HNW clients · 255 to 292Nov 22, 2024 to Mar 4, 2025
- Individual clients · 356 to 335Nov 22, 2024 to Mar 4, 2025
- Pension plan clients · 59 to 60Nov 22, 2024 to Mar 4, 2025
- Assets in custody · $32.5M to $35.5MNov 22, 2024 to Mar 4, 2025
- Employees · 14 to 16Nov 22, 2024 to Mar 4, 2025
- State-registered IARs · 11 to 10Nov 22, 2024 to Mar 4, 2025
- Other offices · 1 to 0Nov 22, 2024 to Mar 4, 2025
- Discretionary RAUM · $561M to $801MNov 22, 2024 to Mar 4, 2025
- HNW RAUM · $409M to $534MNov 22, 2024 to Mar 4, 2025
- Individual RAUM · $106M to $116MNov 22, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $84.6M to $5.5MNov 22, 2024 to Mar 4, 2025
- Pension RAUM · $111M to $136MNov 22, 2024 to Mar 4, 2025
- RAUM · $646M to $806MNov 22, 2024 to Mar 4, 2025
- HQ city · LEAWOOD to OVERLAND PARKMar 20, 2024 to Jun 3, 2024
- Accounts · 1,836 to 1,921Nov 22, 2023 to Mar 20, 2024
- Advisory employees · 11 to 12Nov 22, 2023 to Mar 20, 2024
- HNW clients · 245 to 255Nov 22, 2023 to Mar 20, 2024
- Individual clients · 361 to 356Nov 22, 2023 to Mar 20, 2024
- Pension plan clients · 64 to 59Nov 22, 2023 to Mar 20, 2024
- Assets in custody · $32.5M to $32.5MNov 22, 2023 to Mar 20, 2024
- Employees · 12 to 14Nov 22, 2023 to Mar 20, 2024
- State-registered IARs · 9 to 11Nov 22, 2023 to Mar 20, 2024
- Discretionary RAUM · $431M to $561MNov 22, 2023 to Mar 20, 2024
- HNW RAUM · $312M to $409MNov 22, 2023 to Mar 20, 2024
- Individual RAUM · $87.9M to $106MNov 22, 2023 to Mar 20, 2024
Signals
9 dated events
- Marae Bethany Busche (Chief Compliance Officer) appeared on Schedule A of Legacy Financial Strategies, LlcJun 3, 2024 · Control person joined · fact
- N Heather Hardman (Chief Compliance Officer) no longer on Schedule A of Legacy Financial Strategies, Llc (listed 2024-03-20, absent 2024-06-03)Jun 3, 2024 · Control person left · inference
- Legacy Financial Strategies, Llc reported RAUM $645.6M, up 27% from $508.7M (2023-11-22 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- Jordan Kasey Priddy left Legacy Financial Strategies, Llc for Buckingham Strategic Wealth, Llc (registered 2023-11-17)Oct 25, 2023 · Advisor changed firm · fact
- Wayne Michael Lutz (Ceo, Managing Member) no longer on Schedule A of Legacy Financial Strategies, Llc (listed 2023-01-25, absent 2023-01-25)Jan 25, 2023 · Control person left · inference
- Legacy Financial Strategies, Llc reported RAUM $234.6M, down 38% from $377.0M (2018-08-15 to 2018-09-28)Sep 28, 2018 · RAUM change · derived
- Legacy Financial Strategies, Llc reported RAUM $377.0M, up 92% from $195.9M (2018-01-22 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- Legacy Financial Strategies, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)May 27, 2016 · Succession (Item 4) · fact
- Legacy Financial Strategies, Llc filed its initial SEC registration (Form ADV)May 27, 2016 · 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
- 913-403-0600reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 913-403-0700reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/LEGACY-FINANCIAL-STRATEGIES-LLCreportedpublic record, Form ADV, Sep 17, 2026
- Website
- LEGACYKC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 913-403-0600reportedpublic record, Form ADV, Jul 21, 2026
- Team page
- legacykc.com/our-teamreportedpublished 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
- $73.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026