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 Private Client Services

No RAUM reportedPointe-Claire. Qc, CRD 331736SEC 801-130906websiteIAPD
Legal name Rosen Group Private Wealth Management, LLC
Latest filing Jun 17, 2026
First filing on the tape Jul 11, 2024 · 14 filings
SEC status approved since Aug 13, 2024
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$0 as of Jun 17, 2026
Feb 6, 2025$0 then
HNW client RAUM$0 as of Jun 17, 2026
Jan 29, 2026$0 then
State-registered IARs (5.B.3)1 as of Jun 17, 2026
Feb 6, 20250 then
Employees (5.A)1 as of Jun 17, 2026
Feb 6, 20251 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 1offices 0 to 1
Practice profile
derived from the filing of Jun 17, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 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 assetsreportedItem 5.E
Advisory activities
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 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
NameBranchHere sinceIn industryPrior firms
Christine CaoChartered Financial AnalystPointe-Claire. QcFeb 17, 202510 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Christine Cao · Ccocontrol
      since 05/2024 · owns less than 5%
    • Lewis Rosen · Ownercontrol
      since 03/2021 · owns 75% or more of Rosen Group Private Wealth Management Ltd.
    Entity owners
    • Rosen Group Private Wealth Management Ltd. · Owner
      direct · 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
    • Advisory employees · 3 to 1
      May 5, 2026 to Jun 17, 2026
    • Employees · 3 to 1
      May 5, 2026 to Jun 17, 2026
    • State-registered IARs · 2 to 1
      May 5, 2026 to Jun 17, 2026
    • Related adviser · false to true
      Apr 14, 2026 to May 5, 2026
    • Advisory employees · 1 to 3
      Jan 29, 2026 to Apr 14, 2026
    • Employees · 1 to 3
      Jan 29, 2026 to Apr 14, 2026
    • State-registered IARs · 0 to 2
      Jan 29, 2026 to Apr 14, 2026
    • Charity clients · unset to 0.0
      Oct 31, 2025 to Jan 29, 2026
    • Corporate clients · unset to 0.0
      Oct 31, 2025 to Jan 29, 2026
    • HNW clients · unset to 0.0
      Oct 31, 2025 to Jan 29, 2026
    • Individual clients · unset to 0.0
      Oct 31, 2025 to Jan 29, 2026
    • Pension plan clients · unset to 0.0
      Oct 31, 2025 to Jan 29, 2026
    • Pooled vehicle clients · unset to 0.0
      Oct 31, 2025 to Jan 29, 2026
    • HNW RAUM · unset to 0.0
      Oct 31, 2025 to Jan 29, 2026
    • Individual RAUM · unset to 0.0
      Oct 31, 2025 to Jan 29, 2026
    • Pension RAUM · unset to 0.0
      Oct 31, 2025 to Jan 29, 2026
    • Pooled vehicle RAUM · unset to 0.0
      Oct 31, 2025 to Jan 29, 2026
    • Business name · ROSEN GROUP PRIVATE WEALTH MANAGEMENT, LLC to LEGACY PRIVATE CLIENT SERVICES
      Jul 29, 2025 to Oct 31, 2025
    • Financial planning clients · unset to
      Apr 28, 2025 to Jul 29, 2025
    • Other offices · 0 to 1
      Apr 28, 2025 to Jul 29, 2025
    • HQ state · unset to
      Sep 5, 2024 to Feb 6, 2025
    Signals
    2 dated events
    • Christine Cao (Cco) appeared on Schedule A of Legacy Private Client Services
      Jul 30, 2024 · Control person joined · fact
    • Rosen Group Private Wealth Management, Llc filed its initial SEC registration (Form ADV)
      Jul 11, 2024 · 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
    Website
    legacyprivateclientservices.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    514-782-5966reportedpublic record, Form ADV, Jun 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
    No RAUM reportedderiveda 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