Legacy Wealth Management Inc
- Regulatory AUM
- $2.7B
- Discretionary
- $2.5B
- Clients
- 1,475
- Avg AUM / client
- $1.8M
- Accounts
- 4,667
- Employees
- 22
AUM over time
Annual snapshots from Form ADV filings · as of Mar 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 786 | $323M | 12.1% |
| High net worth individuals | 674 | $2.1B | 77.6% |
| Pension and profit sharing plans | Fewer than 5 clients | $7.5M | 0.28% |
| Charitable organizations | 6 | $22.1M | 0.83% |
| State or municipal government entities | Fewer than 5 clients | $6.1M | 0.23% |
| Corporations and other businesses | 9 | $238M | 8.94% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Metronational Corporation Retirement Savings Plan Metro National Corporation | 2024 | |
| Tjl Industries Inc 401(k) Profit Sharing Plan & Trust Tjl Industries Inc | 2024 | |
| Carrabbas 401(k) Plan Carrabbas | 2024 | |
| Alonti 401(k) Plan Pepi Corporation | 2024 | |
| Rhodes Management Services, Llc 401(k) Plan Rhodes Management Services, Llc | 2024 | |
| Houston Zoo Employees' 401(k) Plan Houston Zoo, Inc. | 2024 | |
| Helfman Enterprises, Inc. 401(k) Profit Sharing Plan & Trust Helfman Enterprises, Inc. | 2024 | |
| Prosource.It Retirement Plan Prosource.It, Ltd. | 2024 | |
| Lgi Homes, Inc. 401(k) Plan Lgi Homes, Inc. | 2024 |
People (17)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Cathy Ann Simmons | Chief Compliance Officer | CFP | Apr 2007 (19y) | Less than 5% |
| Lindsey Bell Mazzola | Director Of Client Operations | CFP | May 2012 (14y) | 5% – 10% |
| Vosburg, Alan, Edward | It Manager | Jan 2013 (14y) | 5% – 10% | |
| Hallie L Peyton | Director Of Client Service | CFP | Apr 2013 (13y) | 5% – 10% |
| Robin Keith Sievers | Director Of Client Service | CFP | Apr 2013 (13y) | 5% – 10% |
| Duncan L Miller | President & Ceo | CFP | Nov 2013 (13y) | 10% – 25% |
| Rebecca Jeanne Rawlinson | Director Of Financial Planning | CFP | Oct 2015 (11y) | 5% – 10% |
| Nicholas Glenn Sowell | Director Of Financial Planning | CFP | Oct 2021 (5y) | Less than 5% |
| E Charles Jalenak | Senior Wealth Strategist | CFP | Jul 2023 (3y) | 10% – 25% |
| Lawrence James Epperly | Director Of Portfolio Management | CFA | Jul 2023 (3y) | Less than 5% |
| Brienne Smith Jackson | Registered representative | CFP | Apr 2025 (1y) | |
| Brittany Glyn Paul | Registered representative | CFP | May 2025 (1y) | |
| Nathan Scott Powell | Registered representative | CFP | May 2025 (1y) | |
| Joseph Francis Birch | Registered representative | May 2025 (1y) | ||
| Wallace Spencer Hope | Registered representative | CFA | Jun 2025 (1y) | |
| Courtney Hays Wages | Registered representative | Nov 2025 (1y) | ||
| Daniel Eric Kimbrough | Registered representative | Jan 2026 (1y) |
Undisclosed: 0% – 55% 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.
Retirement plans served (9)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Metronational Corporation Retirement Savings Plan | Metro National Corporation | 363 | $38.0M | 01/01/2024 |
| Tjl Industries Inc 401(k) Profit Sharing Plan & Trust | Tjl Industries Inc | 278 | $16.1M | 01/01/2024 |
| Carrabbas 401(k) Plan | Carrabbas | 559 | $17.7M | 01/01/2024 |
| Alonti 401(k) Plan | Pepi Corporation | 214 | $3.8M | 01/01/2024 |
| Rhodes Management Services, Llc 401(k) Plan | Rhodes Management Services, Llc | 200 | $5.8M | 01/01/2024 |
| Houston Zoo Employees' 401(k) Plan | Houston Zoo, Inc. | 407 | $28.2M | 01/01/2024 |
| Helfman Enterprises, Inc. 401(k) Profit Sharing Plan & Trust | Helfman Enterprises, Inc. | 483 | $27.5M | 01/01/2024 |
| Prosource.It Retirement Plan | Prosource.It, Ltd. | 75 | $7.6M | 01/01/2024 |
| Lgi Homes, Inc. 401(k) Plan | Lgi Homes, Inc. | 1,175 | $91.0M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/13/2026 | 1 MB | 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $1.5B (55% of AUM) Mar 2026
- National Financial Services (Fidelity) $953M (36% of AUM) Mar 2026
- National Advisors Trust Company $45.0M (4% of AUM) Aug 2019
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 13, 2026.
View current Form ADV (SEC/IAPD) ↗