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.
Advisor moves
Arrivals at Legacy Investment Strategies, LLC
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| John K Dawes | Empower Advisory Group, LLC BD affiliated | Legacy Investment Strategies, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 24, 2025 | Oct 17, 2025 (85 d) |
| Justin Earl Hensel | Commonwealth Financial Network national BD | Legacy Investment Strategies, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 30, 2025 | Jul 15, 2025 |
| Leonard Charles Smith | Crown Capital Securities, L.P. BD affiliated | Legacy Investment Strategies, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 1, 2024 | May 28, 2024 |
| Keith Ryan Gunther | Crown Capital Securities, L.P. BD affiliated | Legacy Investment Strategies, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 30, 2024 | May 28, 2024 |
| David Matthew Collins | Crown Capital Securities, L.P. BD affiliated | Legacy Investment Strategies, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 30, 2024 | Apr 3, 2024 |
| Frederick Mark Atiyeh | Crown Capital Securities, L.P. BD affiliated | Legacy Investment Strategies, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 30, 2024 | May 23, 2024 |
| Derek Robert Thomsen | Crown Capital Securities, L.P. BD affiliated | Legacy Investment Strategies, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 16, 2024 | May 28, 2024 (42 d) |
| Eric Fenlason | John Hancock Investment Management LLC asset manager | Legacy Investment Strategies, LLC state registered | Other | Feb 3, 2020 | May 31, 2023 (1213 d) |
| James William Olsen | Bts Asset Management, Inc. other | Legacy Investment Strategies, LLC state registered | Other | Jul 19, 2004 | Dec 6, 2011 (2696 d) |
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9 moves match.