Legacy Wealth Management, Inc.

The firm provides discretionary asset management and financial planning primarily to individual clients, offering ongoing portfolio management, written financial plans, and educational seminars. It manages assets directly and also places some accounts on the Orion Portfolio Solutions platform under separate client agreements.

Investment programs are tailored to each client’s stated goals, time horizon and risk tolerance and rely on fundamental and technical analysis, with strategies that can include long- and short-term positions, options, margin and use of ETFs, mutual funds and REITs under discretionary authority. Accounts are reviewed at least quarterly and financial plans typically address retirement, legacy, insurance, investment and tax planning and are delivered within 30 days when documentation is provided.

The firm is small in scale—its brochure reports roughly $3.2 million in assets under management—and the principal maintains several outside business activities as a licensed insurance agent and a real estate agent/owner, including property management and rental entities, which the brochure states occupy a substantial portion of his time and produce commission income. Those affiliations and related compensation are disclosed in the brochure and described as potential conflicts of interest with associated mitigation procedures and client disclosure.