Legacy Cg Llc
- Regulatory AUM
- $379M
- Discretionary
- $366M
- Clients
- 209
- Avg AUM / client
- $1.8M
- Accounts
- 516
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 11, 2026
Investments (13F portfolio — 45 positions, $360,049,329)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | J P Morgan Exchange Traded F | BETABUILDERS EUR | $31,223,409 | 431,203 | 8.67% | 8.25% |
| 2 | Bny Mellon Etf Trust | GLOBAL INFRASCTR | $19,409,419 | 435,775 | 5.39% | 5.13% |
| 3 | J P Morgan Exchange Traded F | ULTRA SHRT ETF | $19,221,678 | 379,800 | 5.34% | 5.08% |
| 4 | Innovator Etfs Trust | EQUITY DEF PRO 2 | $17,788,327 | 672,374 | 4.94% | 4.7% |
| 5 | Listed Fds Tr | SWAN HEDGED EQTY | $16,961,786 | 686,712 | 4.71% | 4.48% |
| 6 | Doubleline Etf Trust | MORTGAGE ETF | $16,500,327 | 334,150 | 4.58% | 4.36% |
| 7 | Innovator Etfs Trust | EQUITY DEF PROTN | $16,207,368 | 551,992 | 4.5% | 4.28% |
| 8 | Franklin Templeton Etf Tr | INVT GRADE CORPT | $15,713,819 | 733,605 | 4.36% | 4.15% |
| 9 | Franklin Templeton Etf Tr | FRANKLIN DYN MUN | $15,704,019 | 633,482 | 4.36% | 4.15% |
| 10 | Rbb Fund Trust | FIRST EAGLE GBL | $13,453,468 | 286,244 | 3.74% | 3.55% |
| 11 | Amazon Com Inc | COM | $9,691,220 | 46,532 | 2.69% | 2.56% |
| 12 | Bondbloxx Etf Trust | BLOOMBERG TWO YR | $9,475,136 | 192,218 | 2.63% | 2.5% |
| 13 | Alphabet Inc | CAP STK CL C | $8,525,479 | 29,720 | 2.37% | 2.25% |
| 14 | Angel Oak Funds Trust | INCOME ETF | $8,193,496 | 394,432 | 2.28% | 2.16% |
| 15 | Berkshire Hathaway Inc Del | CL B NEW | $7,950,407 | 16,591 | 2.21% | 2.1% |
| 16 | First Tr Exch Traded Fd Iii | INSTL PFD SECS | $7,897,388 | 415,652 | 2.19% | 2.09% |
| 17 | American Centy Etf Tr | AVANTIS EMGMKT | $7,845,511 | 97,363 | 2.18% | 2.07% |
| 18 | Nvidia Corporation | COM | $7,081,861 | 40,607 | 1.97% | 1.87% |
| 19 | Walmart Inc | COM | $6,937,185 | 55,819 | 1.93% | 1.83% |
| 20 | Broadcom Inc | COM | $6,734,009 | 21,757 | 1.87% | 1.78% |
| 21 | Welltower Inc | COM | $6,456,813 | 32,658 | 1.79% | 1.71% |
| 22 | Motorola Solutions Inc | COM NEW | $6,207,073 | 14,303 | 1.72% | 1.64% |
| 23 | Devon Energy Corp New | COM | $6,104,520 | 121,314 | 1.7% | 1.61% |
| 24 | Abbvie Inc | COM | $6,068,623 | 27,903 | 1.69% | 1.6% |
| 25 | Hilton Worldwide Hldgs Inc | COM | $5,758,059 | 18,936 | 1.6% | 1.52% |
Top 25 of 45 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 57 | $8.9M | 2.36% |
| High net worth individuals | 141 | $349M | 92.1% |
| Pension and profit sharing plans | 1 | $5.1M | 1.34% |
| Charitable organizations | 2 | $12.1M | 3.2% |
| Corporations and other businesses | 2 | $3.4M | 0.9% |
| Other | 6 | $536K | 0.14% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Roger Alan Shake | Vp/Sec/Treas. | CFP | Nov 1989 (37y) | Less than 5% |
| Steven Gregg Wachs | President, Chief Compliance Officer | CFP | Jan 1999 (28y) | 25% – 50% |
| Matthew Peter Quinn | Member | CFA | Jun 2017 (9y) | 5% – 10% |
| Jennifer Young Schmitt | Trustee | CFP | Dec 2018 (8y) | GP / trustee / elected manager of Schmitt Revocable Trust, Dated 12/28/2018 (indirect) |
| Boling, Jennifer, Katharine | Member | Jan 2021 (6y) | 5% – 10% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Roger A. And Susan Shake Living Trust, Dated 11/7/1989, As Amended Or Restated | Member | Jan 2021 | A | 25% – 50% |
| Schmitt Revocable Trust, Dated 12/28/2018 | Member | Jan 2021 | A | 5% – 10% |
Undisclosed: 0% – 35% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/11/2026 | 990 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $366M (97% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 11, 2026.
View current Form ADV (SEC/IAPD) ↗