{"url":"https://nivawealth.com/firms/legacy-financial-services-group-140514","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/140514","regulatoryAum":122816278,"crd":"140514","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4824852","suffix":null,"lastName":"KAZMIERSKI","firstName":"KELLY","middleName":"LYNN"},{"crd":"4699981","suffix":null,"lastName":"WEEKS","firstName":"CAROLYN","middleName":"MARIE"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-136525","legalName":"Legacy Financial Services Group, Inc.","displayName":"Legacy Financial Services Group","slug":"legacy-financial-services-group-140514","website":"https://discoverlegacy.net/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"xUrl":"https://x.com/LegacyGroup2","founded":null,"organization":"Michigan corporation","fiscalYearEnd":"December","headquarters":{"street":"10691 East Carter Road, Suite 101","city":"Traverse City","state":"MI","stateName":"Michigan","country":"United States","postalCode":"49684"},"tradeNames":[],"registration":{"secApproved":"18 June 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":662486.3060109289,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":122816278,"discretionary":122816278,"discretionaryAccounts":357,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":148,"regulatoryAum":38037916},{"label":"High-net-worth individuals","clients":35,"regulatoryAum":83197078},{"label":"Pension and profit-sharing plans","clients":1,"fewerThan5":true,"regulatoryAum":1581284}],"feePrograms":[{"role":"main","program":"Investment Management Fees and Compensation","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045570","versionId":1045570,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-05-19","documentName":"ADV 2022","fee_rate_low":0.7,"fee_rate_high":1.75,"fee_negotiable":true,"minimum_account":250000,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:26:34.226479+00:00","documents":[{"name":"ADV 2022","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045570","versionId":1045570,"submittedOn":"2026-05-19"}]},"custodians":[{"name":"Altruist Financial LLC","shortName":"Altruist","location":"Jersey City, NJ","smaAssets":106858752},{"name":"Pershing LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":15957526}],"custodyNote":"Legacy Financial Services Group has custody of $96M for 355 clients.","otherCustodians":[],"leadership":[{"name":"Derek Weeks","title":"President","crd":"2502350"},{"name":"Carolyn Weeks","title":"Chief Compliance Officer","crd":"4699981"}],"ownership":[{"label":"Derek Weeks","detail":"President in the 75% or more ownership band and a control person, since April 2006."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":2},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Michigan","offices":1,"addresses":[{"street":"10691 East Carter Road, Suite 101","city":"Traverse City","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"231-933-0631","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":10},{"label":"Securities issued by registered investment companies or business development companies","percent":86},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"19 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/140514/PDF/140514.pdf","brochureDate":"19 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1045570","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Legacy Financial Services Group have?","answer":"Legacy Financial Services Group has 184 clients and manages $123 million for them, as of May 2026. They include 148 individual clients, 35 high-net-worth individuals and 1 pension or profit-sharing plan.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 19 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Legacy Financial Services Group offer?","answer":"Legacy Financial Services Group provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Legacy Financial Services Group charge?","answer":"Legacy Financial Services Group charges 0.70%–1.75% a year for its Investment Management Fees and Compensation. The fee is billed in arrears, is negotiable and requires an account of at least $250,000.","source":"ADV 2022, filed 19 May 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Legacy Financial Services Group use?","answer":"Legacy Financial Services Group’s separately managed account assets are held at Altruist Financial LLC (Jersey City, NJ), with $107M and Pershing LLC (Jersey City, NJ), with $16M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 19 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Legacy Financial Services Group have?","answer":"Legacy Financial Services Group has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Legacy Financial Services Group invest in?","answer":"At the end of its last fiscal year, Legacy Financial Services Group’s separately managed accounts held 86% registered funds (mutual funds, ETFs, BDCs), 10% exchange-traded equities and 4% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Legacy Financial Services Group have a minimum investment?","answer":"Yes, Legacy Financial Services Group’s minimum account size for its Investment Management Fees and Compensation is $250K.","source":"ADV 2022, filed 19 May 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Legacy Financial Services Group?","answer":"Legacy Financial Services Group’s direct owner is Derek Weeks (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 19 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Legacy Financial Services Group get paid?","answer":"Legacy Financial Services Group is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Legacy Financial Services Group?","answer":"Legacy Financial Services Group’s main office is at 10691 East Carter Road, Suite 101, Traverse City, MI 49684. Its phone number is 231-933-0631. Its website is discoverlegacy.net.","source":"Form ADV Part 1A, Item 1.F, filed 19 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}