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••••• W•••••
Legal name L••••• W••••• A•••• M••••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Jan 8, 2020 · 17 filings
SEC status approved since Feb 7, 2020
RAUM
$546M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$546M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
14
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$546M as of Mar 13, 2026
Feb 23, 2021$327M then
HNW client RAUM$452M as of Mar 13, 2026
Feb 23, 2021$294M then
State-registered IARs (5.B.3)4 as of Mar 13, 2026
Feb 23, 20214 then
Employees (5.A)14 as of Mar 13, 2026
Feb 23, 20218 then
Private funds: no history
RAUM +15% over the last fiscal year+15% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 13, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $335,175derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $976MreportedItem 5.I
- Custody
- $366M, 978 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$452M83%
- Individuals$94.0M17%
- Individual clients
- 347reported
- HNW clients
- 146reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,629reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $430M sponsored, $116M managedreported
- Custody of client assets
- $366M for 978 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• M•••••• B••••••Certified Financial Planner | Woodbury, Mn | Feb 7, 2020 | 12 y | 1 |
| M•••••• D•••••• B••••••Chartered Financial Consultant | Woodbury, Mn | Feb 7, 2020 | 38 y | 2 |
| M•••••• M•••••• B•••••• | Woodbury, Mn | Feb 8, 2020 | 12 y | 0 |
| B••••••• M•••••• B••••••Chartered Financial Analyst | Woodbury, Mn | Feb 14, 2020 | 16 y | 0 |
| B•••• S••••• | Woodbury, Mn | Feb 10, 2026 | 11 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
none on the tape
Joined, latest
- M•••••• D•••••• B•••••• from C•• S••••••••• L••Feb 7, 2020 · Other
- J••••• M•••••• B•••••• from A••••••••• F•••••••• S•••••••• L••Feb 7, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• B•••••••• M•••••• · Cfo & Managing Membercontrolsince 02/2020 · owns less than 5%
- B••••••• J••••••••• M•••••• · Chief Compliance Officer & Ciocontrolsince 10/2020 · owns less than 5%
- B••••••• M••••••• D•••••• · Ceo & Managing Membercontrolsince 02/2020 · owns less than 5%
- B••••••• B•••••••• M•••••• · Managing Membercontrolsince 02/2020 · owns F of L••••• W•••••• L••
- B••••••• J••••••••• M•••••• · Managing Membercontrolsince 02/2020 · owns F of L••••• W•••••• L••
- B••••••• J•••••• M•••••• · Managing Membercontrolsince 02/2020 · owns F of L••••• W•••••• L••
- B••••••• M••••••• M•••••• · Managing Membercontrolsince 02/2020 · owns F of L••••• W•••••• L••
- B••••••• M••••••• D•••••• · Managing Membercontrolsince 02/2020 · owns 75% or more of L••••• W•••••• L••
Entity owners
- L••••• W•••••• L•• · Managing Memberdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Woodbury, Mn · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,448 to 1,629Mar 7, 2025 to Mar 13, 2026
- HNW clients · 131 to 146Mar 7, 2025 to Mar 13, 2026
- Individual clients · 314 to 347Mar 7, 2025 to Mar 13, 2026
- Assets in custody · $317M to $366MMar 7, 2025 to Mar 13, 2026
- Employees · 10 to 14Mar 7, 2025 to Mar 13, 2026
- Discretionary RAUM · $453M to $515MMar 7, 2025 to Mar 13, 2026
- HNW RAUM · $399M to $452MMar 7, 2025 to Mar 13, 2026
- Individual RAUM · $76.0M to $94.0MMar 7, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $22.0M to $31.0MMar 7, 2025 to Mar 13, 2026
- RAUM · $475M to $546MMar 7, 2025 to Mar 13, 2026
- Wrap assets (manager) · $411M to $116MMar 7, 2025 to Mar 13, 2026
- Wrap assets (sponsor) · $411M to $430MMar 7, 2025 to Mar 13, 2026
- Accounts · 1,053 to 1,448Jan 19, 2024 to Mar 7, 2025
- HNW clients · 153 to 131Jan 19, 2024 to Mar 7, 2025
- Individual clients · 245 to 314Jan 19, 2024 to Mar 7, 2025
- Assets in custody · $249M to $317MJan 19, 2024 to Mar 7, 2025
- Financial planning clients · 0 to 0Jan 19, 2024 to Mar 7, 2025
- Discretionary RAUM · $394M to $453MJan 19, 2024 to Mar 7, 2025
- HNW RAUM · $358M to $399MJan 19, 2024 to Mar 7, 2025
- Individual RAUM · $55.0M to $76.0MJan 19, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $19.0M to $22.0MJan 19, 2024 to Mar 7, 2025
- RAUM · $413M to $475MJan 19, 2024 to Mar 7, 2025
- Wrap assets (manager) · $73.0M to $411MJan 19, 2024 to Mar 7, 2025
- Wrap assets (sponsor) · $413M to $411MJan 19, 2024 to Mar 7, 2025
- Accounts · 982 to 1,053May 2, 2023 to Jan 19, 2024
- Advisory employees · 5 to 4May 2, 2023 to Jan 19, 2024
- Advisory activities · 3 to 4May 2, 2023 to Jan 19, 2024
- BD registered reps · 5 to 4May 2, 2023 to Jan 19, 2024
- HNW clients · 139 to 153May 2, 2023 to Jan 19, 2024
- Individual clients · 247 to 245May 2, 2023 to Jan 19, 2024
- Assets in custody · $216M to $249MMay 2, 2023 to Jan 19, 2024
- State-registered IARs · 5 to 4May 2, 2023 to Jan 19, 2024
- Discretionary RAUM · $342M to $394MMay 2, 2023 to Jan 19, 2024
- HNW RAUM · $301M to $358MMay 2, 2023 to Jan 19, 2024
- Individual RAUM · $54.7M to $55.0MMay 2, 2023 to Jan 19, 2024
- Non-discretionary RAUM · $13.9M to $19.0MMay 2, 2023 to Jan 19, 2024
- RAUM · $356M to $413MMay 2, 2023 to Jan 19, 2024
- Wrap assets (manager) · $55.5M to $73.0MMay 2, 2023 to Jan 19, 2024
- Wrap assets (sponsor) · $355M to $413MMay 2, 2023 to Jan 19, 2024
- Accounts · 831 to 982Nov 23, 2022 to Feb 9, 2023
Signals
2 dated events
- L••••• W••••• reported RAUM $326.6M, up 172% from $120.2M (2020-10-01 to 2021-02-23)Feb 23, 2021 · RAUM change · derived
- L••••• W••••• filed its initial SEC registration (Form ADV)Jan 8, 2020 · 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
- 651-621-2383reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/legacy-wealth-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- L•••••WEALTHWISDOM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 651-621-2383reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- l•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- l•••••••••.comreportedpublished 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
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026