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 Independent Advisors LLC
Latest filing Mar 30, 2026
First filing on the tape Nov 13, 2022 · 11 filings
SEC status approved since Mar 15, 2023
RAUM
$484M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$479M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$80.7M
derived; firm RAUM over IAPD count
Employees
8
5 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$484M as of Mar 30, 2026
Mar 7, 2023$306M then
HNW client RAUM$344M as of Mar 30, 2026
Mar 7, 2023$210M then
State-registered IARs (5.B.3)5 as of Mar 30, 2026
Mar 7, 20235 then
Employees (5.A)8 as of Mar 30, 2026
Mar 7, 20239 then
Private funds: no history
RAUM +7.4% over the last fiscal year+16% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 30, 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
- $80.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 124derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $185,162derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%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$344M71%
- Individuals$135M28%
- Corporations and businesses$3.9M0.8%
- Charitable organizations$973,3360.2%
- Individual clients
- 585reported
- HNW clients
- 156reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,614reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Bryan Sean Mccrea | Louisville, Ky | Jan 23, 2023 | 16 y | 1 |
| Christopher Robert MccreaCertified Financial Planner | Louisville, Ky | Jan 23, 2023 | 16 y | 1 |
| Bruce Edward Mccrea | Louisville, Ky | Jan 23, 2023 | 46 y | 3 |
| Thomas Clifford FalknerCertified Financial Planner | Louisville, Ky | Jan 24, 2023 | 10 y | 1 |
| Sheree Long Bollinger | Louisville, Ky | Jan 26, 2023 | 40 y | 2 |
| Zachary Andrew Gutermuth | Louisville, Ky | May 14, 2025 | 11 y | 0 |
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
- Sheree Long Bollinger from First Kentucky Securities CorpJan 26, 2023 · RIA to a newly registered adviser
- Thomas Clifford Falkner from First Kentucky Securities CorpJan 24, 2023 · RIA to a newly registered adviser
- Bryan Sean Mccrea from First Kentucky Securities CorpJan 23, 2023 · RIA to a newly registered adviser
- Christopher Robert Mccrea from First Kentucky Securities CorpJan 23, 2023 · RIA to a newly registered adviser
- Bruce Edward Mccrea from First Kentucky Securities CorpJan 23, 2023 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from First Kentucky Securities CorpJan 13, 2023 · Louisville, Ky
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Edward Bruce Mccrea · Managing Member And Chief Compliance Officercontrolsince 01/2023 · owns 25% to 50%
- Sean Bryan Mccrea · Membercontrolsince 01/2023 · owns 25% to 50%
- Robert Christopher Mccrea · Membercontrolsince 01/2023 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,503 to 2,614Sep 22, 2025 to Mar 30, 2026
- Corporate clients · 7 to 8Sep 22, 2025 to Mar 30, 2026
- HNW clients · 139 to 156Sep 22, 2025 to Mar 30, 2026
- Individual clients · 565 to 585Sep 22, 2025 to Mar 30, 2026
- Discretionary RAUM · $451M to $484MSep 22, 2025 to Mar 30, 2026
- HNW RAUM · $289M to $344MSep 22, 2025 to Mar 30, 2026
- Individual RAUM · $143M to $135MSep 22, 2025 to Mar 30, 2026
- RAUM · $451M to $484MSep 22, 2025 to Mar 30, 2026
- Accounts · 2,296 to 2,503Feb 4, 2025 to Mar 28, 2025
- Charity clients · 3.0 to unsetFeb 4, 2025 to Mar 28, 2025
- Corporate clients · 3 to 7Feb 4, 2025 to Mar 28, 2025
- HNW clients · 138 to 139Feb 4, 2025 to Mar 28, 2025
- Individual clients · 529 to 565Feb 4, 2025 to Mar 28, 2025
- Employees · 9 to 8Feb 4, 2025 to Mar 28, 2025
- Financial planning clients · 101-250 to 251-500Feb 4, 2025 to Mar 28, 2025
- Discretionary RAUM · $428M to $451MFeb 4, 2025 to Mar 28, 2025
- HNW RAUM · $283M to $289MFeb 4, 2025 to Mar 28, 2025
- Individual RAUM · $132M to $143MFeb 4, 2025 to Mar 28, 2025
- RAUM · $428M to $451MFeb 4, 2025 to Mar 28, 2025
- Accounts · 1,420 to 2,296Nov 20, 2023 to Mar 26, 2024
- Charity clients · unset to 3.0Nov 20, 2023 to Mar 26, 2024
- Corporate clients · unset to 3.0Nov 20, 2023 to Mar 26, 2024
- HNW clients · 109 to 138Nov 20, 2023 to Mar 26, 2024
- Individual clients · 329 to 529Nov 20, 2023 to Mar 26, 2024
- Discretionary RAUM · $306M to $428MNov 20, 2023 to Mar 26, 2024
- HNW RAUM · $210M to $283MNov 20, 2023 to Mar 26, 2024
- Individual RAUM · $96.2M to $132MNov 20, 2023 to Mar 26, 2024
- RAUM · $306M to $428MNov 20, 2023 to Mar 26, 2024
- Employees · 8 to 9Jan 26, 2023 to Mar 7, 2023
- Financial planning clients · 0 to 101-250Jan 26, 2023 to Mar 7, 2023
- State-registered IARs · 4 to 5Jan 26, 2023 to Mar 7, 2023
- Discretionary RAUM · $0 to $306MJan 26, 2023 to Mar 7, 2023
- HNW RAUM · unset to 210291814.0Jan 26, 2023 to Mar 7, 2023
- Individual RAUM · unset to 96195517.0Jan 26, 2023 to Mar 7, 2023
- RAUM · $0 to $306MJan 26, 2023 to Mar 7, 2023
- Accounts · 0 to 1,420Jan 26, 2023 to Mar 7, 2023
- Advisory employees · 4 to 5Jan 26, 2023 to Mar 7, 2023
- HNW clients · unset to 109.0Jan 26, 2023 to Mar 7, 2023
- Individual clients · unset to 329.0Jan 26, 2023 to Mar 7, 2023
- BD registered reps · 3 to 0Jan 12, 2023 to Jan 26, 2023
Signals
7 dated events
- Legacy Financial Independent Advisors Llc reported RAUM $428.4M, up 40% from $306.5M (2023-11-20 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- 5 advisors left First Kentucky Securities Corp (Louisville, KY) for Legacy Financial Independent Advisors LLC on the same dayJan 13, 2023 · Team lift-out · derived
- Edward Bruce Mccrea (Managing Member And Chief Compliance Officer) appeared on Schedule A of Legacy Financial Independent Advisors LlcJan 12, 2023 · Control person joined · fact
- Sean Bryan Mccrea (Member) appeared on Schedule A of Legacy Financial Independent Advisors LlcJan 12, 2023 · Control person joined · fact
- Robert Christopher Mccrea (Member) appeared on Schedule A of Legacy Financial Independent Advisors LlcJan 12, 2023 · Control person joined · fact
- Edward Christopher Winn (Managing Member) no longer on Schedule A of Legacy Financial Independent Advisors Llc (listed 2022-11-13, absent 2023-01-12)Jan 12, 2023 · Control person left · inference
- Legacy Financial filed its initial SEC registration (Form ADV)Nov 13, 2022 · 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
- tcfalkner@legacyfia.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- awalker@legacyfia.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- bmccrea@legacyfia.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mccreabs@legacyfia.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mkappesser@legacyfia.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 502-873-0522reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 502-873-0521reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 502-873-0523reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- legacyfia.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (502) 873-0522reportedpublic record, Form ADV, Mar 30, 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
- $80.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026