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 Pcg, LLC
Latest filing Mar 23, 2026
First filing on the tape Jun 24, 2016 · 31 filings
SEC status approved since Jul 6, 2016
RAUM
$140M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$131M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$69.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$140M as of Mar 23, 2026
Mar 31, 2017$72.1M then
HNW client RAUM$118M as of Mar 23, 2026
Feb 16, 2018$43.6M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Mar 31, 20172 then
Employees (5.A)2 as of Mar 23, 2026
Mar 31, 20173 then
Private funds: no history
RAUM -32% over the last fiscal year-28% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 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
- RAUM per advisor
- $69.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $698,818derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $414,312, 1 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$118M84%
- Individuals$13.2M9.5%
- Charitable organizations$9.0M6.4%
- Individual clients
- 38reported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 200reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $414,312 for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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 headcount2 left over 36 months
Left, latest
- Bruce Allan Frankel to Parallel Advisors, LLCJul 22, 2024 · RIA to RIA
- Nicholas Bobroff to Charles Schwab & Co., Inc.Jun 4, 2024 · RIA to affiliated broker-dealer or bank
- Todd Eric Lunsford to Axxcess Wealth Management, LLCAug 15, 2023 · RIA to RIA
- Daniel (Nmn) Guillen to International Private Wealth Advisors LLCApr 17, 2023 · RIA to a newly registered adviser
- Victor David Russell to Mavros Capital Management, LLCMar 16, 2023 · RIA to a newly registered adviser
- Louis (Nmn) Barajas to International Private Wealth Advisors LLCMar 1, 2023 · RIA to a newly registered adviser
- Daniel Jay Shainberg to Heritage Wealth Management, Inc.Aug 24, 2018 · RIA to RIA
Joined, latest
- Victor David Russell from Acribus Capital LLCJul 14, 2022 · Other
- Bruce Allan Frankel from Eckhoff Wealth Management, LLCApr 1, 2022 · Other
- Daniel (Nmn) Guillen from Forta Financial Group, Inc.Sep 29, 2021 · RIA to RIA
- Louis (Nmn) Barajas from Louis Barajas & AssociatesOct 3, 2019 · Other
- Roberto Roman from Legacy Private Client Group, Inc.Jul 25, 2016 · Other
- Todd Eric Lunsford from Legacy Private Client Group, Inc.Jul 25, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Legacy Private Client Group, Inc.Dec 31, 2016 · Kamas, Ut
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Cynthia Pon · Chief Financial Officercontrolsince 09/2016 · owns less than 5%
- Roberto Roman · Chief Executive Officercontrolsince 05/2016 · owns less than 5%
- Chi Charles Young · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- James Kevin O'Connell · Membercontrolsince 04/2016 · owns 25% to 50% of Mgo Group, LLC
Entity owners
- Mgo Group, LLC · Managing Memberdirect · owns 75% or more
- Roman, LLC · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Macias Gini & O'Connell Llpinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 23, 2026RAUM (Item 5.F) moved from $206,197,659 to $139,763,641 (-32.0%) between the annual amendments of 2025-03-06 and 2026-03-23; the peer median change was +15.0% (4550 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 1.2% percentile
What changed
consecutive filings, newest first
- Accounts · 260 to 200Dec 1, 2025 to Mar 23, 2026
- Corporate clients · 5.0 to unsetDec 1, 2025 to Mar 23, 2026
- Individual clients · 33 to 38Dec 1, 2025 to Mar 23, 2026
- Assets in custody · $59.9M to $414,312Dec 1, 2025 to Mar 23, 2026
- Employees · 4 to 2Dec 1, 2025 to Mar 23, 2026
- Insurance-licensed employees · 0 to 2Dec 1, 2025 to Mar 23, 2026
- Discretionary RAUM · $181M to $140MDec 1, 2025 to Mar 23, 2026
- HNW RAUM · $179M to $118MDec 1, 2025 to Mar 23, 2026
- Individual RAUM · $16.5M to $13.2MDec 1, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $25.2M to $0Dec 1, 2025 to Mar 23, 2026
- Pension RAUM · 373462.0 to unsetDec 1, 2025 to Mar 23, 2026
- RAUM · $206M to $140MDec 1, 2025 to Mar 23, 2026
- Business name · MGO PRIVATE WEALTH, LLC to LEGACY PCG, LLCMar 6, 2025 to Dec 1, 2025
- HQ city · IRVINE to NEWPORTMar 6, 2025 to Dec 1, 2025
- Legal name · MGO PRIVATE WEALTH, LLC to LEGACY PCG, LLCMar 6, 2025 to Dec 1, 2025
- Related insurance company · true to falseMar 6, 2025 to Dec 1, 2025
- Accounts · 341 to 260Nov 8, 2024 to Mar 6, 2025
- Corporate clients · unset to 5.0Nov 8, 2024 to Mar 6, 2025
- HNW clients · 44 to 33Nov 8, 2024 to Mar 6, 2025
- Individual clients · 118 to 33Nov 8, 2024 to Mar 6, 2025
- Assets in custody · unset to 59930732.0Nov 8, 2024 to Mar 6, 2025
- Custody of client assets · false to trueNov 8, 2024 to Mar 6, 2025
- Financial planning clients · 26-50 to 11-25Nov 8, 2024 to Mar 6, 2025
- Discretionary RAUM · $218M to $181MNov 8, 2024 to Mar 6, 2025
- HNW RAUM · $204M to $179MNov 8, 2024 to Mar 6, 2025
- Individual RAUM · $25.9M to $16.5MNov 8, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $69.7M to $25.2MNov 8, 2024 to Mar 6, 2025
- Pension RAUM · $46.5M to $373,462Nov 8, 2024 to Mar 6, 2025
- RAUM · $288M to $206MNov 8, 2024 to Mar 6, 2025
- Advisory employees · 4 to 2Mar 21, 2024 to Nov 8, 2024
- Advisory activities · 6 to 5Mar 21, 2024 to Nov 8, 2024
- Employees · 6 to 4Mar 21, 2024 to Nov 8, 2024
- State-registered IARs · 4 to 2Mar 21, 2024 to Nov 8, 2024
- Accounts · 542 to 341Nov 2, 2023 to Mar 21, 2024
- Advisory employees · 6 to 4Nov 2, 2023 to Mar 21, 2024
- Charity clients · 2.0 to unsetNov 2, 2023 to Mar 21, 2024
- Corporate clients · 2.0 to unsetNov 2, 2023 to Mar 21, 2024
- HNW clients · 55 to 44Nov 2, 2023 to Mar 21, 2024
- Individual clients · 480 to 118Nov 2, 2023 to Mar 21, 2024
- Pension plan clients · 5.0 to unsetNov 2, 2023 to Mar 21, 2024
Signals
9 dated events
- Bruce Allan Frankel left Legacy Pcg, Llc for Parallel Advisors, Llc (registered 2024-12-19)Jul 22, 2024 · Advisor changed firm · fact
- Nicholas Bobroff left Legacy Pcg, Llc for Charles Schwab & Co., Inc. (registered 2025-04-29)Jun 4, 2024 · Advisor changed firm · fact
- Todd Eric Lunsford left Legacy Pcg, Llc for Axxcess Wealth Management, Llc (registered 2023-07-14)Aug 15, 2023 · Advisor changed firm · fact
- Eric Todd Lunsford (Chief Compliance Officer) no longer on Schedule A of Legacy Pcg, Llc (listed 2023-04-25, absent 2023-08-15)Aug 15, 2023 · Control person left · inference
- Chi Charles Young (Chief Compliance Officer) appeared on Schedule A of Legacy Pcg, LlcAug 15, 2023 · Control person joined · fact
- Daniel (Nmn) Guillen left Legacy Pcg, Llc for International Private Wealth Advisors Llc (registered 2022-09-30)Apr 17, 2023 · Advisor changed firm · fact
- Victor David Russell left Legacy Pcg, Llc for Mavros Capital Management, Llc (registered 2023-09-18)Mar 16, 2023 · Advisor changed firm · fact
- Louis (Nmn) Barajas left Legacy Pcg, Llc for International Private Wealth Advisors Llc (registered 2022-09-29)Mar 1, 2023 · Advisor changed firm · fact
- Mgo Wealth Advisors, Llc filed its initial SEC registration (Form ADV)Jun 24, 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 email
- admin@legacypcg.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 949-207-3241reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 999-207-3241reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- legacypcg.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (646) 884-7467reportedpublic record, Form ADV, Mar 23, 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
- $69.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026