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.

Former SEC-registered adviser

Legacy Wealth Planning, LLC

Former SEC-registered adviserReno, NevadaCRD 289212SEC 801-111791IAPD
Latest filing Mar 22, 2023
First filing on the tape Sep 1, 2017 · 11 filings
RAUM
$343M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$343M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$343M as of Mar 22, 2023
Mar 27, 2018$213M then
HNW client RAUM$215M as of Mar 22, 2023
Mar 27, 2018$87.1M then
State-registered IARs (5.B.3)9 as of Mar 22, 2023
Mar 27, 20189 then
Employees (5.A)10 as of Mar 22, 2023
Mar 27, 201810 then
Private funds: no history
RAUM +17% over the last fiscal year+4.5% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 22, 2023; every figure names its basis
RAUM per advisor
$38.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
54derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$701,670derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-53%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$215M63%
  • Individuals$128M37%
Individual clients
386reported
HNW clients
103reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
489reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Mark Levy · Managing Partnercontrol
      since 03/2006 · owns 25% to 50%
    • Stephen Phillip Mahoney · Managing Partner/ Chief Compliance Officercontrol
      since 03/2006 · owns 25% to 50%
    • Major Martin Mcclellan · Managing Partnercontrol
      since 03/2006 · owns 25% to 50%
    • Eric Christopher Vargas · Managing Partnercontrol
      since 03/2006 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Reno, Nv · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,316 to 489
      Feb 22, 2022 to Mar 22, 2023
    • Corporate clients · 10.0 to unset
      Feb 22, 2022 to Mar 22, 2023
    • HNW clients · 397 to 103
      Feb 22, 2022 to Mar 22, 2023
    • Individual clients · 633 to 386
      Feb 22, 2022 to Mar 22, 2023
    • Pension plan clients · 14.0 to unset
      Feb 22, 2022 to Mar 22, 2023
    • Financial planning clients · 1-10 to 0
      Feb 22, 2022 to Mar 22, 2023
    • Discretionary RAUM · $294M to $343M
      Feb 22, 2022 to Mar 22, 2023
    • HNW RAUM · $184M to $215M
      Feb 22, 2022 to Mar 22, 2023
    • Individual RAUM · $91.3M to $128M
      Feb 22, 2022 to Mar 22, 2023
    • Pension RAUM · 9276972.0 to unset
      Feb 22, 2022 to Mar 22, 2023
    • RAUM · $294M to $343M
      Feb 22, 2022 to Mar 22, 2023
    • Accounts · 1,000 to 1,316
      Mar 29, 2021 to Feb 22, 2022
    • Corporate clients · unset to 10.0
      Mar 29, 2021 to Feb 22, 2022
    • HNW clients · 190 to 397
      Mar 29, 2021 to Feb 22, 2022
    • Individual clients · 810 to 633
      Mar 29, 2021 to Feb 22, 2022
    • Pension plan clients · unset to 14.0
      Mar 29, 2021 to Feb 22, 2022
    • Discretionary RAUM · $380M to $294M
      Mar 29, 2021 to Feb 22, 2022
    • HNW RAUM · $308M to $184M
      Mar 29, 2021 to Feb 22, 2022
    • Individual RAUM · $72.2M to $91.3M
      Mar 29, 2021 to Feb 22, 2022
    • Pension RAUM · unset to 9276972.0
      Mar 29, 2021 to Feb 22, 2022
    • RAUM · $380M to $294M
      Mar 29, 2021 to Feb 22, 2022
    • Accounts · 803 to 1,000
      Jun 29, 2020 to Mar 29, 2021
    • HNW clients · 90 to 190
      Jun 29, 2020 to Mar 29, 2021
    • Individual clients · 713 to 810
      Jun 29, 2020 to Mar 29, 2021
    • Pension plan clients · 20.0 to unset
      Jun 29, 2020 to Mar 29, 2021
    • Discretionary RAUM · $301M to $380M
      Jun 29, 2020 to Mar 29, 2021
    • HNW RAUM · $160M to $308M
      Jun 29, 2020 to Mar 29, 2021
    • Individual RAUM · $140M to $72.2M
      Jun 29, 2020 to Mar 29, 2021
    • RAUM · $301M to $380M
      Jun 29, 2020 to Mar 29, 2021
    • Accounts · 756 to 803
      Mar 27, 2019 to Mar 27, 2020
    • HNW clients · 117 to 90
      Mar 27, 2019 to Mar 27, 2020
    • Individual clients · 615 to 713
      Mar 27, 2019 to Mar 27, 2020
    • Discretionary RAUM · $264M to $301M
      Mar 27, 2019 to Mar 27, 2020
    • HNW RAUM · $150M to $160M
      Mar 27, 2019 to Mar 27, 2020
    • Individual RAUM · $109M to $140M
      Mar 27, 2019 to Mar 27, 2020
    • Pension RAUM · 3750000.0 to unset
      Mar 27, 2019 to Mar 27, 2020
    • RAUM · $264M to $301M
      Mar 27, 2019 to Mar 27, 2020
    • Accounts · 798 to 756
      Mar 27, 2018 to Mar 27, 2019
    • HNW clients · 61 to 117
      Mar 27, 2018 to Mar 27, 2019
    • Individual clients · 737 to 615
      Mar 27, 2018 to Mar 27, 2019
    Signals
    11 dated events
    • Jon Bruce Park left Legacy Wealth Planning, Llc for Mariner Advisor Network (registered 2023-12-04)
      Dec 4, 2023 · Advisor changed firm · fact
    • Elise Marie Levy left Legacy Wealth Planning, Llc for Mariner Advisor Network (registered 2023-12-08)
      Dec 4, 2023 · Advisor changed firm · fact
    • Christopher Eric Vargas left Legacy Wealth Planning, Llc for Mariner Advisor Network (registered 2023-06-13)
      Dec 4, 2023 · Advisor changed firm · fact
    • Mark Levy left Legacy Wealth Planning, Llc for Mariner Advisor Network (registered 2023-09-07)
      Dec 4, 2023 · Advisor changed firm · fact
    • Phillip Stephen Mahoney left Legacy Wealth Planning, Llc for Lpl Financial Llc (registered 2018-10-31)
      Dec 4, 2023 · Advisor changed firm · fact
    • Wendy Ann Hammond left Legacy Wealth Planning, Llc for Mariner Advisor Network (registered 2023-07-19)
      Dec 4, 2023 · Advisor changed firm · fact
    • Martin Major Mcclellan left Legacy Wealth Planning, Llc for Mariner Advisor Network (registered 2023-09-07)
      Dec 4, 2023 · Advisor changed firm · fact
    • Mason Bodie Monroe left Legacy Wealth Planning, Llc for Mariner Advisor Network (registered 2023-08-16)
      Dec 4, 2023 · Advisor changed firm · fact
    • Legacy Wealth Planning, LLC's advisors moved to Mariner Advisor Network (Reno, NV): 7 of 8 registered, on the same day
      Dec 4, 2023 · Firm absorbed (people side) · derived
    • Steven Edward Rose left Legacy Wealth Planning, Llc for Cwm, Llc (registered 2022-03-01)
      Apr 18, 2022 · Advisor changed firm · fact
    • Legacy Wealth Planning, Llc filed its initial SEC registration (Form ADV)
      Sep 1, 2017 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026