LEGACY WEALTH MANAGEMENT INC
Adviser information for LEGACY WEALTH MANAGEMENT INC last updated from Form ADV on March 8th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Tennessee, United States |
Employees
| Total Number of Employees | 21 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 15 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4,225 | $2.0B |
| Non-Discretionary | 33 | $97.2M |
| Total | 4,258 | $2.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 798 | $322.3M |
| HNW Individuals | 535 | $1.5B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $6.1M |
| Charitable organizations | 5 | $11.4M |
| State or municipal gov entities | <5 | $5.6M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 11 | $205.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
1715 AARON BRENNER DR.SUITE 301
MEMPHIS
TN
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 901-758-9006, Fax: 901-758-9007
Chief Compliance Officer
CATHY A. SIMMONS
CHIEF COMPLIANCE OFFICER
1715 AARON BRENNER DR.
SUITE 301
MEMPHIS
TN
United States
Tel:
901-758-9006
Fax:
901-758-9007
C*****@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PEYTON, HALLIE, L | Individual | – | DIRECTOR OF CLIENT SERVICE | 04/2013 | 5-10% |
| ISAACS, JAMES, J. | Individual | – | CHAIRMAN | 01/2022 | 10-25% |
| SIMMONS, CATHY, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2007 | < 5% |
| MILLER, DUNCAN, L | Individual | – | PRESIDENT & CEO | 01/2022 | 10-25% |
| MAZZOLA, LINDSEY, BELL | Individual | – | DIRECTOR OF CLIENT OPERATIONS | 05/2012 | 5-10% |
| JALENAK, E, CHARLES | Individual | – | SENIOR WEALTH STRATEGIST | 07/2023 | 10-25% |
| SIEVERS, ROBIN, KEITH | Individual | – | DIRECTOR OF CLIENT SERVICE | 04/2013 | 5-10% |
| RAWLINSON, REBECCA, JEANNE | Individual | – | DIRECTOR OF FINANCIAL PLANNING | 10/2015 | 5-10% |
| Epperly, Lawrence, James | Individual | – | DIRECTOR OF PORTFOLIO MANAGEMENT | 07/2023 | < 5% |
| SOWELL, NICHOLAS, GLENN | Individual | – | DIRECTOR OF FINANCIAL PLANNING | 10/2021 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 12th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| APPLE INC | COM | 211K | 1K | – |
| AT&T INC | COM | 2M | 89K | – |
| FIDELITY MERRIMACK STR TR | TOTAL BD ETF | 129M | 3M | – |
| HARTFORD FDS EXCHANGE TRADED | MUN OPORTUNITE | 16M | 423K | – |
| INVESCO QQQ TR | UNIT SER 1 | 244K | 508 | – |
| ISHARES TR | CORE S&P MCP ETF | 84M | 1M | – |
| ISHARES TR | CORE S&P SCP ETF | 50M | 465K | – |
| ISHARES TR | CORE S&P500 ETF | 271M | 495K | – |
| ISHARES TR | CORE US AGGBD ET | 4M | 40K | – |
| ISHARES TR | RUS 1000 ETF | 234M | 787K | – |
| ISHARES TR | RUS 1000 GRW ETF | 459K | 1K | – |
| ISHARES TR | RUS 1000 VAL ETF | 262K | 2K | – |
| ISHARES TR | RUSSELL 2000 ETF | 12M | 59K | – |
| J P MORGAN EXCHANGE TRADED F | CORE PLUS BD ETF | 123M | 3M | – |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 68M | 1M | – |
| SCHWAB STRATEGIC TR | 1000 INDEX ETF | 191M | 4M | – |
| SCHWAB STRATEGIC TR | US AGGREGATE B | 576K | 13K | – |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 784K | 12K | – |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 51M | 798K | – |
| SCHWAB STRATEGIC TR | US MID-CAP ETF | 105M | 1M | – |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 26M | 558K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 5M | 10K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 7M | 27K | – |