{"url":"https://nivawealth.com/firms/legacy-wealth-advisors-127758","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/127758","regulatoryAum":178343622,"crd":"127758","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4617040","suffix":null,"lastName":"FLORES","firstName":"ELIZABETH","middleName":"LOUISE"},{"crd":"1289017","suffix":null,"lastName":"RYU","firstName":"EDWIN","middleName":"KYU SUNG"}],"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"},"history":[{"filedOn":"2021-03-29","regulatoryAum":114568627,"clients":51,"employees":7,"offices":1},{"filedOn":"2022-03-29","regulatoryAum":123808664,"clients":50,"employees":7,"offices":2},{"filedOn":"2023-03-24","regulatoryAum":107609011,"clients":51,"employees":7,"offices":2},{"filedOn":"2024-03-26","regulatoryAum":121965576,"clients":51,"employees":7,"offices":2},{"filedOn":"2025-03-28","regulatoryAum":137480219,"clients":55,"employees":6,"offices":2},{"filedOn":"2026-03-18","regulatoryAum":178343622,"clients":62,"employees":6,"offices":2}],"secFileNumber":"801-119518","legalName":"Legacy Wealth Advisors, LLC","displayName":"Legacy Wealth Advisors","slug":"legacy-wealth-advisors-127758","website":"https://legacywealthadvisorsllc.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/127758/8e432585aa101363-r1.webp","tone":"light","width":806,"height":200,"sourceUrl":"https://legacywealthadvisorsllc.com/","sourceLabel":"Legacy Wealth Advisors, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/legacywealthadvisorsllc/","founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2001 Gateway Place, Suite 600w","city":"San Jose","state":"CA","stateName":"California","country":"United States","postalCode":"95110"},"tradeNames":[],"registration":{"secApproved":"6 November 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2812846.2580645164,"staff":{"employees":6,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":178343622,"discretionary":168355917,"discretionaryAccounts":184,"nonDiscretionary":9987705,"nonDiscretionaryAccounts":26,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":55},"clientTypes":[{"label":"Individuals (other than HNW)","clients":16,"regulatoryAum":6403138},{"label":"High-net-worth individuals","clients":46,"regulatoryAum":167993330},{"label":"Other","clients":null,"fewerThan5":true,"regulatoryAum":3947154}],"feePrograms":[{"role":"main","program":"Wealth Advisory Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021401","versionId":1021401,"ratePeriod":"annual","fee_billing":"both","submittedOn":"2026-03-18","documentName":"LEGACY WEALTH ADV PART 2A BROCHURE","fee_rate_low":0.5,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":2000000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning and consulting","summary":"Financial planning and consulting are a fixed fee starting at $2,500 per engagement, or hourly at up to $500 per hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021401","versionId":1021401,"submittedOn":"2026-03-18","documentName":"LEGACY WEALTH ADV PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:57:14.476116+00:00","documents":[{"name":"LEGACY WEALTH ADV PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021401","versionId":1021401,"submittedOn":"2026-03-18"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":165582401}],"custodyNote":"Legacy Wealth Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Edwin Ryu","title":"Member/Chief Compliance Officer","crd":"1289017"}],"ownership":[{"label":"Edwin Ryu","detail":"Member/chief compliance officer in the 75% or more ownership band and a control person, since December 1999."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"2001 Gateway Place, Suite 600w","city":"San Jose","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"408-452-7700","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":32},{"label":"Non-exchange-traded equity securities","percent":11},{"label":"U.S. government/agency bonds","percent":2},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":41},{"label":"Cash and cash equivalents","percent":7},{"label":"Other","percent":6,"detail":"Hedge Funds, Annuities, Private Equity &\nDebt and Private Real Estate Funds"}],"privateFunds":0},"sources":{"adv1FilingDate":"18 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/127758/PDF/127758.pdf","brochureDate":"18 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021401","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 Wealth Advisors have?","answer":"Legacy Wealth Advisors has 62 clients and manages $178 million for them, as of March 2026. They include 46 high-net-worth individuals and 16 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Legacy Wealth Advisors offer?","answer":"Legacy Wealth Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.","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 Wealth Advisors charge?","answer":"Legacy Wealth Advisors charges 0.50%–1.50% a year for its Wealth Advisory Services. The fee is billed in advance or in arrears, is negotiable and requires an account of at least $2,000,000.","source":"LEGACY WEALTH ADV PART 2A BROCHURE, filed 18 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Legacy Wealth Advisors use?","answer":"Legacy Wealth Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $166M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Legacy Wealth Advisors have?","answer":"Legacy Wealth Advisors has 2 investment adviser representatives registered with state securities authorities, out of 6 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","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 Wealth Advisors invest in?","answer":"At the end of its last fiscal year, Legacy Wealth Advisors’ separately managed accounts held 41% registered funds (mutual funds, ETFs, BDCs), 32% exchange-traded equities, 11% non-exchange-traded equities, 7% cash and equivalents, 6% other, 2% U.S. government and agency bonds and 1% investment grade corporate bonds. The 6% other category is described as: Hedge Funds, Annuities, Private Equity &\nDebt and Private Real Estate Funds.","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 Wealth Advisors have a minimum investment?","answer":"Yes, Legacy Wealth Advisors’ minimum account size for its Wealth Advisory Services is $2M.","source":"LEGACY WEALTH ADV PART 2A BROCHURE, filed 18 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Legacy Wealth Advisors?","answer":"Legacy Wealth Advisors’ direct owner is Edwin Ryu (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 18 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Legacy Wealth Advisors get paid?","answer":"Legacy Wealth Advisors is paid through a percentage of assets under management, hourly charges and fixed fees. 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 Wealth Advisors?","answer":"Legacy Wealth Advisors’ main office is at 2001 Gateway Place, Suite 600w, San Jose, CA 95110. Its phone number is 408-452-7700. Its website is legacywealthadvisorsllc.com.","source":"Form ADV Part 1A, Item 1.F, filed 18 March 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."}