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 Edge Advisors

Independent wealth managerSyosset, New YorkCRD 328064SEC 801-128842IAPD
Legal name Legacy Edge Advisors, LLC
Latest filing Apr 16, 2026
First filing on the tape Sep 6, 2023 · 17 filings
SEC status approved since Feb 1, 2024
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.2B individuals and HNW
Advisors
19
registered through the firm on IAPD
RAUM per advisor
$64.7M
derived; firm RAUM over IAPD count
Employees
18
16 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.2B as of Apr 16, 2026
Mar 20, 2024$627M then
HNW client RAUM$1.2B as of Apr 16, 2026
Mar 20, 2024$579M then
State-registered IARs (5.B.3)16 as of Apr 16, 2026
Mar 20, 202410 then
Employees (5.A)18 as of Apr 16, 2026
Mar 20, 202410 then
Private funds: no history
RAUM +37% over the last fiscal yearIARs 12 to 16offices 2 to 5
Practice profile
derived from the filing of Apr 16, 2026; every figure names its basis
Archetypes, each a printed rule
RAUM per advisor
$64.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
28derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$2.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.9derivedItem 5.A over advisors
Advisors per office
3.2derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+37%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+25%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$702MreportedItem 5.I
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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.2B96%
  • Individuals$43.7M3.6%
  • Corporations and businesses$536,0790.0%
Individual clients
88reported
HNW clients
442reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
532reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
19 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Kevin Marshall BrooksNew York, Ny Nov 1, 202320 y2
Nicola Saverio PatulloCertified Financial PlannerSyosset, NyNov 1, 202323 y3
Barry Howard GladsteinNew York, NyNov 1, 202318 y4
Scott Jason IsraelSyosset, NyNov 1, 202330 y2
Robert Francis RomCertified Financial PlannerSyosset, NyNov 1, 202331 y2
Hui Yao Kelly LinSyosset, Ny Nov 1, 202327 y2
Theresa Ann BilelloSyosset, NyNov 1, 202335 y2
Robert Paul MarronaroCertified Financial PlannerSyosset, NyNov 1, 202324 y3
Jason Sean KassCertified Financial Planner, Chartered Financial AnalystSyosset, NyNov 2, 202321 y6
Kenneth David DenicoloSyosset, Ny Jul 23, 202427 y1
Timothy John SommerSyosset, Ny Jan 18, 202533 y2
Carlos Alberto PrinceSyosset, Ny May 12, 202519 y6
Charles Henry WhitmanSyosset, NyMay 29, 202540 y0
Karen Randy FillerNew York, Ny Jun 5, 202537 y1
Timothy Olin UrieCertified Financial PlannerRoseland, NjJan 1, 202627 y4
Charles Russell HawesCertified Financial PlannerSyosset, Ny Jan 20, 202626 y2
Lutelles Lindley WhiteSyosset, Ny Jun 17, 202614 y2
Collin Roy Church GloverCoraopolis, Pa Jun 26, 202618 y4
Jarrod John SleppySarver, Pa Jun 26, 202614 y3
Advisor movement
0 left, 4 joined in 12 months
net +4 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
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
    • Jason Scott Israel · Managing Partner, Senior Wealth Advisorcontrol
      since 08/2023 · owns 25% to 50%
    • Sean Jason Kass · Managing Partner, Sr. Portfolio Managercontrol
      since 08/2023 · owns 25% to 50%
    • Francis Robert Rom · Managing Partner, Senior Wealth Advisorcontrol
      since 08/2023 · owns 25% to 50%
    • Olin Timothy Urie · Managing Partner And Chief Compliance Officercontrol
      since 08/2023 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Syosset, Ny · principal1740
    New York, Ny400
    Lakewood, Co210
    Offices
    Schedule D 1.F, the 25 largest
    • Lakewood, CO1 employees
    • Roseland, NJ1 employees
    ADV anomalies
    3 against comparable advisers; where to look, not conclusions
    • growth on all axesCombination · filing Apr 16, 2026
      RAUM, offices and advisors all grew 25 percent or more in one year: a platform in expansion or an acquisition. RAUM $896,164,407 to $1,228,771,954, advisors 12 to 16, private clients 425 to 530, offices 2 to 5 (2025-03-28 to 2026-04-16)
      peers: independent wealth managers, $1B to $5B (1,360)
    • account count collapseChange between filings · filing Apr 16, 2026
      accounts (Item 5.F.2.f) moved from 1,118.0 to 532.0 (-52.0%) between the annual amendments of 2025-03-28 and 2026-04-16; the peer median change was +6.0% (1206 comparable advisers, 2.0th percentile of changes)
      peers: independent wealth managers, $1B to $5B (1,206) · 1.6% percentile
    • employee count surgeChange between filings · filing Apr 16, 2026
      employees (Item 5.A) moved from 12.0 to 18.0 (+50.0%) between the annual amendments of 2025-03-28 and 2026-04-16; the peer median change was +4.0% (1050 comparable advisers, 96.0th percentile of changes)
      peers: independent wealth managers, $1B to $5B (1,050) · 96% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Other offices · 4 to 5
      Mar 27, 2026 to Apr 16, 2026
    • Accounts · 1,118 to 532
      Jul 10, 2025 to Mar 27, 2026
    • Advisory employees · 14 to 16
      Jul 10, 2025 to Mar 27, 2026
    • HNW clients · 326 to 442
      Jul 10, 2025 to Mar 27, 2026
    • Individual clients · 99 to 88
      Jul 10, 2025 to Mar 27, 2026
    • Employees · 14 to 18
      Jul 10, 2025 to Mar 27, 2026
    • State-registered IARs · 14 to 16
      Jul 10, 2025 to Mar 27, 2026
    • Discretionary RAUM · $896M to $1.2B
      Jul 10, 2025 to Mar 27, 2026
    • HNW RAUM · $858M to $1.2B
      Jul 10, 2025 to Mar 27, 2026
    • Individual RAUM · $37.9M to $43.7M
      Jul 10, 2025 to Mar 27, 2026
    • RAUM · $896M to $1.2B
      Jul 10, 2025 to Mar 27, 2026
    • Advisory employees · 12 to 14
      Mar 28, 2025 to Jul 10, 2025
    • Employees · 12 to 14
      Mar 28, 2025 to Jul 10, 2025
    • Financial planning clients · 51-100 to 51-100
      Mar 28, 2025 to Jul 10, 2025
    • State-registered IARs · 12 to 14
      Mar 28, 2025 to Jul 10, 2025
    • Other offices · 2 to 4
      Mar 28, 2025 to Jul 10, 2025
    • Accounts · 893 to 1,118
      Jul 25, 2024 to Mar 28, 2025
    • Corporate clients · 0 to 2
      Jul 25, 2024 to Mar 28, 2025
    • HNW clients · 210 to 326
      Jul 25, 2024 to Mar 28, 2025
    • Individual clients · 170 to 99
      Jul 25, 2024 to Mar 28, 2025
    • Financial planning clients · 1-10 to 51-100
      Jul 25, 2024 to Mar 28, 2025
    • Discretionary RAUM · $614M to $896M
      Jul 25, 2024 to Mar 28, 2025
    • HNW RAUM · $579M to $858M
      Jul 25, 2024 to Mar 28, 2025
    • Individual RAUM · $47.9M to $37.9M
      Jul 25, 2024 to Mar 28, 2025
    • Non-discretionary RAUM · $12.7M to $0
      Jul 25, 2024 to Mar 28, 2025
    • RAUM · $627M to $896M
      Jul 25, 2024 to Mar 28, 2025
    • Advisory employees · 11 to 12
      Jun 12, 2024 to Jul 25, 2024
    • Employees · 11 to 12
      Jun 12, 2024 to Jul 25, 2024
    • State-registered IARs · 11 to 12
      Jun 12, 2024 to Jul 25, 2024
    • Other offices · 1 to 2
      May 7, 2024 to Jun 12, 2024
    • Advisory employees · 10 to 11
      Apr 29, 2024 to May 7, 2024
    • Employees · 10 to 11
      Apr 29, 2024 to May 7, 2024
    • State-registered IARs · 10 to 11
      Apr 29, 2024 to May 7, 2024
    • Financial planning clients · 0 to 1-10
      Feb 1, 2024 to Mar 20, 2024
    • Advisory employees · 11 to 10
      Jan 30, 2024 to Feb 1, 2024
    • Employees · 11 to 10
      Jan 30, 2024 to Feb 1, 2024
    • State-registered IARs · 11 to 10
      Jan 30, 2024 to Feb 1, 2024
    • Accounts · 0 to 893
      Dec 20, 2023 to Jan 19, 2024
    • Charity clients · unset to 0.0
      Dec 20, 2023 to Jan 19, 2024
    • Corporate clients · unset to 0.0
      Dec 20, 2023 to Jan 19, 2024
    Signals
    8 dated events
    • 2 advisors left Advice And Planning Services (Sarver, PA) for Legacy Edge Advisors on the same day
      May 11, 2026 · Team lift-out · derived
    • Legacy Edge Advisors reported RAUM $1.2B, up 37% from $896.2M (2025-07-10 to 2026-03-27)
      Mar 27, 2026 · RAUM change · derived
    • Legacy Edge Advisors reported RAUM $896.2M, up 43% from $627.0M (2024-07-25 to 2025-03-28)
      Mar 28, 2025 · RAUM change · derived
    • Anca Garcia left Legacy Edge Advisors for Beacon Pointe Advisors, Llc (registered 2024-06-04)
      Feb 1, 2024 · Advisor changed firm · fact
    • 5 advisors left Wealthshield Partners, LLC (Cary, NC) for Legacy Edge Advisors on the same day
      Nov 1, 2023 · Team lift-out · derived
    • 2 advisors left Wealthshield Partners, LLC (New York, NY) for Legacy Edge Advisors on the same day
      Nov 1, 2023 · Team lift-out · derived
    • 3 advisors left Newedge Advisors (Melville, NY) for Legacy Edge Advisors on the same day
      Nov 1, 2023 · Team lift-out · derived
    • Legacy Edge Advisors filed its initial SEC registration (Form ADV)
      Sep 6, 2023 · 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
    Principal office phone
    516-447-4200reportedpublic record, Form ADV, Apr 16, 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
    $64.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026