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••••• C•••• F•••••••• O•••••• L••
Latest filing Apr 8, 2026
First filing on the tape Mar 11, 2026 · 2 filings
SEC status approved since Mar 9, 2026
RAUM
$105M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$105M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$105M as of Apr 8, 2026
Mar 11, 2026$105M then
HNW client RAUM$87.6M as of Apr 8, 2026
Mar 11, 2026$87.6M then
State-registered IARs (5.B.3)1 as of Apr 8, 2026
Mar 11, 20261 then
Employees (5.A)3 as of Apr 8, 2026
Mar 11, 20263 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 8, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $312,737derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 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$87.6M83%
- Individuals$17.5M17%
- Individual clients
- 29reported
- HNW clients
- 43reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 336reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• M•••••• C••••••••Certified Financial Planner | Shenandoah, Tx | Apr 2, 2019 | 10 y | 1 |
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
- C•••••••• S•••••• F••••••• to M••••• G••••• A••••••• I•••Aug 31, 2023 · RIA to RIA
Joined, latest
- C•••••••• S•••••• F••••••• from M••••• G••••• A••••••• I•••Jul 12, 2022 · RIA to RIA
- C•••••• M•••••• C•••••••• from H•• W••••• M••••••••• L••Apr 2, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• C••••••• M•••••• · Owner And Ccocontrolsince 02/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 0 to 1Mar 11, 2026 to Apr 8, 2026
Signals
1 dated events
- C•••••••• S•••••• F••••••• left L••••• C•••• F•••••••• O•••••• L•• for M••••• G••••• A••••••• I••• (registered 2024-08-30)Aug 31, 2023 · Advisor changed firm · 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
- i•••@l••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 832-510-9099reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/legacy-cforeportedpublic record, Form ADV, Sep 18, 2026
- Website
- l••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 832-510-9099reportedpublic record, Form ADV, Apr 8, 2026
- Contact form
- l••••••••.comreportedpublished 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026