Legacy Wealth Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
Legacy Wealth Management is a small registered investment adviser that provides ongoing portfolio management, financial planning, and pension consulting services for retirement or other employee benefit plans. The firm’s brochure lists individuals, high-net-worth individuals, and charitable organizations as client types, though it currently reports no assets under management.
The firm documents client goals and risk tolerances in individualized Investment Policy Statements and typically implements model allocations with discretionary authority, relying on a mix of fundamental, quantitative, technical and modern portfolio theory approaches and a long‑term trading orientation. Investment advice is generally limited to equities, fixed income, ETFs and insurance-based products (including annuities), and clients receive regular portfolio monitoring and quarterly reporting.
What distinguishes this adviser from many peers is the explicit pension consulting offering for plan sponsors and its personnel’s role as licensed insurance producers who may recommend and receive compensation for insurance products, a conflict the firm discloses and manages. The firm also offers hourly financial planning engagements in addition to asset‑based advisory arrangements, and operates with a single management person and no reported AUM, which may affect its scale and operational resources compared with larger investment managers.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Annuities
Fee options
$1,000 - $10,000 fixed fee for financial plans
1.00% annually
$250 - $300 per hour
Main office location
Legacy Wealth Management
101 N Tryon Street Suite 600
Charlotte NC 28246, United States
Number of offices
1
Most active in
Legacy Wealth Management has reported serving >5 clients in these states in the last 12 months.
North Carolina
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.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
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.
-
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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