L
Legacy Advisory Group, Inc
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$48,071,864
This total excludes 4 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
72
33% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
72
Very HighAverage account size
$667,665
About
Legacy Advisory Group, Inc. provides discretionary portfolio management and investment advisory services to individuals (including high‑net‑worth clients) and retirement plans such as pension and profit‑sharing plans. The firm prepares an Investment Policy Statement for each client and offers ongoing portfolio monitoring across a range of investments including mutual funds, ETFs, fixed income, real estate funds, annuities, and private placements.
The firm uses a mix of analytical methods — including fundamental, quantitative, technical, charting, cyclical analysis, and modern portfolio theory — and makes use of model portfolios reviewed by an internal investment committee as well as LPL‑designed model portfolios. It typically seeks discretionary trading authority, conducts at least quarterly account reviews, and offers access to LPL‑sponsored platforms (including a wrap‑fee option) for execution and portfolio management.
Noteworthy for a single‑advisor independent firm, Legacy sponsors its own wrap fee program and its principals engage in affiliated insurance and tax‑preparation activities, arrangements the brochure discloses as potential conflicts of interest. The firm also works with institutional custodians (Schwab Institutional and LPL Financial) and receives support and transition assistance from those providers, which it discloses when recommending those platforms.
Client services
Portfolio management
Expertise
Wealth management
Active portfolio management
Private / alternative investments
Annuities
Fee options
$0+: Up to 2.00% $0+: Up to 2.5% (for LPL advisory platforms OMP, MWP, SWM II)
Advisory fees are charged based on assets under management; the principal owner is also a registered representative and insurance agent receiving commissions from sales of investment and insurance products.
Main office location
Legacy Advisory Group, Inc
1932 E Deere Ave, Ste 220
Santa Ana CA 92705, United States
Number of offices
1
Most active in
Legacy Advisory Group, Inc has reported serving >5 clients in these states in the last 12 months.
California · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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