Legacy Wealth Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, educational seminars, education planning, estate planning, retirement plan services, and tax planning. Financial planning was provided to 1,000 clients last fiscal year.
Legacy Wealth Management reports 1,475 clients. They include 786 individual clients, 674 high-net-worth individuals, and 9 corporations and other businesses. Of its assets, 94.7% ($2.52B across 4,619 accounts) are managed with discretion; $141M across 48 accounts are not. Of its clients, 1% are outside the U.S. It advised 2 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 53% | 12% |
| High-net-worth individuals | 46% | 78% |
| Pension and profit-sharing plans | Fewer than 5 | <1% |
| Charitable organizations | <1% | <1% |
| State or municipal government entities | Fewer than 5 | <1% |
| Other client typesCorporations and other businesses | <1% | 9% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 786 | $323M | 12.1% | $411K |
| High-net-worth individuals | 674 | $2.06B | 77.6% | $3.06M |
| Pension and profit-sharing plans | Fewer than 5 | $7.48M | 0.3% | — |
| Charitable organizations | 6 | $22.1M | 0.8% | $3.68M |
| State or municipal government entities | Fewer than 5 | $6.06M | 0.2% | — |
| Corporations and other businesses | 9 | $238M | 8.9% | $26.4M |
| Total | 1,475 | $2.66B | 100% | — |
- Clients
- 786
- Regulatory AUM
- $323M
- AUM share
- 12.1%
- Avg. per client
- $411K
- Clients
- 674
- Regulatory AUM
- $2.06B
- AUM share
- 77.6%
- Avg. per client
- $3.06M
- Clients
- Fewer than 5
- Regulatory AUM
- $7.48M
- AUM share
- 0.3%
- Avg. per client
- —
- Clients
- 6
- Regulatory AUM
- $22.1M
- AUM share
- 0.8%
- Avg. per client
- $3.68M
- Clients
- Fewer than 5
- Regulatory AUM
- $6.06M
- AUM share
- 0.2%
- Avg. per client
- —
- Clients
- 9
- Regulatory AUM
- $238M
- AUM share
- 8.9%
- Avg. per client
- $26.4M
Total
- Clients
- 1,475
- Regulatory AUM
- $2.66B
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 2
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1000
Legacy Wealth Management charges 0.40%–1.00% a year for its Wealth Management. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.
| Asset band | Annual rate |
|---|---|
| $0–$2M | 1.00% |
| $2M–$5M | 0.50% |
| $5M and above | 0.40% |
Fee details and sources
The leadership team of Legacy Wealth Management includes President Duncan Miller and Chief Compliance Officer Cathy Simmons. It has 22 employees, 16 of them in advisory roles.
Leadership
- Duncan MillerPresident & CEO
- Cathy SimmonsChief Compliance Officer
- Lawrence EpperlyDirector of Client Service
- E JalenakDirector
- Lindsey MazzolaDirector of Client Operations
- Hallie PeytonDirector
- Rebecca RawlinsonDirector of Client Service
- Robin SieversManaging Director
- Nicholas SowellDirector of Financial Planning
- Alan VosburgIt Manager
Investment adviser representatives
16 representatives listed in the SEC register as of 9 October 2026.
- Joseph Francis Birch III
- Lawrence James Epperly
- Wallace Spencer Hope
- Brienne Smith Jackson
- E Charles Jalenak
- Daniel Eric Kimbrough
- Lindsey Bell Mazzola
- Duncan L Miller
- Brittany Glyn Paul
- Hallie L Peyton
- Nathan Scott Powell
- Rebecca Jeanne Rawlinson
- Robin Keith Sievers
- Cathy Ann Simmons
- Nicholas Glenn Sowell
- Courtney Hays Wages
Staff
- 22 employees
- 16 in advisory functions
- 16 state-registered reps
- Owns 10% to 25% of Legacy Wealth Management Inc
Duncan Miller
Control person · since January 2022
- Owns 10% to 25% of Legacy Wealth Management Inc
E Jalenak
Control person · since January 2025
- Owns 5% to 10% of Legacy Wealth Management Inc
Hallie Peyton
Control person · since January 2025
- Owns 5% to 10% of Legacy Wealth Management Inc
Lindsey Mazzola
Control person · since May 2012
- Owns 5% to 10% of Legacy Wealth Management Inc
Robin Sievers
Control person · since January 2025
- Owns 5% to 10% of Legacy Wealth Management Inc
Rebecca Rawlinson
Control person · since January 2025
- Owns 5% to 10% of Legacy Wealth Management Inc
Alan Vosburg
Control person · since January 2013
Legacy Wealth Management’s regulatory assets grew 1.5× from $1.74B (March 2021) to $2.66B (March 2026); clients rose from 1,085 to 1,475 and employees were 22 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $2.66B | 1,475 | 22 | 1 |
| March 2025 | $2.36B | 1,412 | 21 | 1 |
| March 2024 | $2.05B | 1,349 | 21 | 1 |
| March 2023 | $1.78B | 1,306 | 23 | 1 |
| February 2022 | $2.08B | 1,230 | 24 | 1 |
| March 2021 | $1.74B | 1,085 | 22 | 1 |
Besides its headquarters, Legacy Wealth Management has 0 offices, with 1 listed address in Tennessee.
Tennessee · 1 listed address
- 1715 Aaron Brenner DR., Suite 301, MemphisHQ
Other business names
Legacy Wealth Management has reported 1 other business name to the SEC.
- Legacy Wealth Management, LLC
Contact and registration details
- Legal name
- Legacy Wealth Management Inc
- Headquarters
- 1715 Aaron Brenner DR., Suite 301, Memphis, TN 38120-1443
- Website
- legacywealthmanagement.com
- Phone
- 901-758-9006
- @legacy-wealth-managementllc
- SEC file
- 801-18073
- Founded
- 1982
- Structure
- Tennessee LLC
- Fiscal year end
- December
Legacy Wealth Management uses Charles Schwab ($1.46B, 60%) and Fidelity ($953M, 40%) as custodians for its separately managed accounts. Legacy Wealth Management has custody of $210M in client assets for 278 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $1.46B60%
- FidelityNational Financial Services LLC · Boston, MA · $953M40%
At year end, Legacy Wealth Management’s separately managed accounts were mostly in stocks (80%) and bonds (13%). Its reported 13F holdings for the quarter ended 30 June 2026 total $1.91B across 30 positions; the largest are iShares TR (22.1%), iShares TR (15.1%) and Fidelity Merrimack Str TR (13.1%).
What the accounts hold
- Stocks80%
- Exchange-traded equities66%
- Non-exchange-traded equities14%
- Bonds13%
- State and local bonds8%
- Investment grade corporate bonds3%
- U.S. government and agency bonds2%
- Cash2%
- Other5%
- Alternative investments5%
Reported 13F holdings
- $1.91B
- Reported 13F value
- 30
- Positions
- 94.9%
- In the 10 largest
- +11.5%
- Value vs. prior quarter
- iShares TR · Core S&P500 ETF22.1%
- iShares TR · Rus 1000 ETF15.1%
- Fidelity Merrimack Str TR · Total BD ETF13.1%
- Schwab Strategic TR · 1000 Index ETF11.0%
- J P Morgan Exchange Traded F · Core Plus BD ETF10.0%
- Schwab Strategic TR · US Mid-cap ETF8.3%
- iShares TR · Core S&P Mcp ETF5.3%
- iShares TR · Core MSCI Total3.6%
- Schwab Strategic TR · US Lrg Cap ETF3.3%
- iShares TR · Core S&P Scp ETF3.2%
Together, the ten largest are 94.9% of reported value.
How many clients does Legacy Wealth Management have?
Legacy Wealth Management has 1,475 clients and manages $2.66 billion for them, as of March 2026. They include 786 individual clients, 674 high-net-worth individuals, and 9 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 13 March 2026
What services does Legacy Wealth Management offer?
Legacy Wealth Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, educational seminars, education planning, estate planning, retirement plan services, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Legacy Wealth Management charge?
Legacy Wealth Management charges 0.40%–1.00% a year for its Wealth Management. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.
Source: LEGACY WEALTH MANAGEMENT ADV PART 2, filed 13 March 2026
Which custodians does Legacy Wealth Management use?
Legacy Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $1.46B and National Financial Services LLC (Boston, MA), with $953M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 13 March 2026
How many financial advisors does Legacy Wealth Management have?
Legacy Wealth Management has 16 investment adviser representatives registered with state securities authorities, out of 22 employees, and 16 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
What does Legacy Wealth Management invest in?
At the end of its last fiscal year, Legacy Wealth Management’s separately managed accounts held 66% exchange-traded equities, 14% non-exchange-traded equities, 8% state and local bonds, 5% other, 3% investment grade corporate bonds, 2% U.S. government and agency bonds and 2% cash and equivalents. The 5% other category is described as: Alternative Investments.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Legacy Wealth Management?
Legacy Wealth Management’s direct owners are Hallie Peyton, Duncan Miller, Lindsey Mazzola, E Jalenak, Robin Sievers, Rebecca Rawlinson and Alan Vosburg, each holding 25% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 13 March 2026
How does Legacy Wealth Management get paid?
Legacy Wealth Management is paid through a percentage of assets under management 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
Is Legacy Wealth Management registered with the SEC?
Yes, Legacy Wealth Management has been registered with the SEC as an investment adviser since 23 December 1982. Its CRD number is 108619 and its SEC file number is 801-18073.
Source: Form ADV Part 1A, Item 1, filed 13 March 2026; IAPD firm record
How do I contact Legacy Wealth Management?
Legacy Wealth Management’s main office is at 1715 Aaron Brenner DR., Suite 301, Memphis, TN 38120-1443. Its phone number is 901-758-9006. Its website is legacywealthmanagement.com.