Legacy & Wealth Financial Advisors
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$58,826,000
Clients
112
13% 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
112
Very HighAverage account size
$525,232
About
Legacy & Wealth Financial Advisors provides investment advisory and financial planning services to individuals — including high net worth clients — and to corporations or other businesses. The firm offers discretionary portfolio management, a web‑based automated portfolio program that uses firm‑selected proprietary model portfolios, and hourly financial planning; the adviser is also licensed to sell insurance products.
The firm typically delivers tailored, discretionary advice based on client objectives and risk tolerance and rebalances model portfolios automatically through its web‑based program. It combines automated model-driven management with the ability to employ more active strategies (including margin, options, short sales, and occasional frequent trading), and clients invested in the firm’s models generally may not impose restrictions on specific holdings or allocations.
Noteworthy features include managing roughly $58.8 million in discretionary assets for about 112 clients while operating both a firm‑designed robo‑style platform and traditional advisory services, with participation in the web program requiring custody at Betterment and model portfolios managed through Schwab. The brochure discloses that the adviser earns commission income from insurance sales (a potential conflict) and that the firm practices directed brokerage for its required custodians and does not vote proxies on client securities.
Client services
Financial planning
Portfolio management
Consulting
Expertise
Active portfolio management
Fee options
$0 - $100,000: 1.50% $100,000.01 - $1,000,000: 1.25% $1,000,000.01 - $2,000,000: 1.00% $2,000,000.01 - $5,000,000: 0.75% $5,000,000.01+: 0.65%
Commission-based compensation for selling insurance products by licensed insurance agent representatives, separate from advisory fees.
Financial planning and consulting services hourly fee of $250/hour, payable in advance; negotiable.
Fee-only: Financial planning and consulting services at $250/hour, payable in advance. Fee is negotiable.
Main office location
Legacy & Wealth Financial Advisors
300 Spectrum Center Drive, Suite 400
Irvine CA 92618, United States
Number of offices
2
Most active in
Legacy & Wealth Financial Advisors has reported serving >5 clients in these states in the last 12 months.
California · Nevada · 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 not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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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