LEGACY FINANCIAL ADVISORS, INC.

RIASEC RegisteredEst. 2011
Total AUM
$1.5B
Discretionary
$1.5B
100% of AUM
Avg account
$407K
Accounts
3,721
Employees
21
Advisory reps
16

Firm details

Headquarters
COVINGTON, Kentucky
CRD number
158675
Registered since
August 2, 2011
Website
legacyfinancialadvisors.com
Custodians
FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • HNWI88.62%
  • Individuals10.6%
  • Charitable Organizations0.77%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other Advisers

Firm profile

FINTRX

Overview

Legacy Financial Advisors, Inc. is an independent registered investment adviser that acts as a capital allocator for both individual/family and institutional clients. The firm provides financial planning, discretionary portfolio management for individuals, small businesses and institutions, and manager selection services. Fee arrangements include percentage-of-AUM billing and fixed fees. Legacy reports itself as an active ESG investor and notes an affiliation with an insurance company. The adviser has been SEC-registered since 2011 and is owned by an individual. Its stated business model blends direct portfolio management with third-party manager selection, indicating a mix of in-house strategies and outsourced allocations.

Assets & Accounts

Public Holdings

Investments & Alternatives

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 44%, Exchange Traded Equities 40%, Cash & Cash Equivalents 7%, State & Local Bonds 4%, US Government Bonds 2%, Derivatives 2%, Investment Grade Corp Bonds 1%44%
  • Public Funds/Mutual Funds44%
  • Exchange Traded Equities40%
  • Cash & Cash Equivalents7%
  • State & Local Bonds4%
  • US Government Bonds2%

Owners & executives

3 of 3

  • MICHAEL MAISEL

    President, CEO & FounderCRD 4214372

  • Jonathan Kasting

    Chief Compliance OfficerCRD 7176479

  • LAURA BRANUM

    Chief Operating OfficerCRD 2581953

Contacts

3 of 13

  • MICHAEL MCWHINNIE

    Financial AdvisorCRD 4334896

  • MATTHEW AQUILIA

    Financial AdvisorCRD 3168428

  • JOHN WILDERN

    PartnerCRD 4109291

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 71

Active vs passive

$328M in ETFs

Passive

75%

$246M

Active

25%

$82.8M

ETFProviderStyleCategoryValueShares% of portfolio
WISDOMTREE US QUALITY DIVIDEND GROWTH FUND (DGRW)Wisdom TreePassiveLarge Blend$63.5M722,41619.32%
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Location

Primary office

COVINGTON, KY

KENTON

Location

COVINGTON, KY

Headquartered in COVINGTON, KY, anchoring the Cincinnati-Wilmington-Maysville, OH-KY-IN metro in the South.

Metro area
Cincinnati-Wilmington-Maysville, OH-KY-IN
Region
South
County
KENTON
Address
117 E 4th St
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth