# Financial Legacy Management, NC.

> Financial Legacy Management, NC. is an SEC-registered investment advisory firm in Little Rock, AR, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 29, 2026.

- CRD: 136348
- Filed as: FINANCIAL LEGACY MANAGEMENT, NC.
- Legal name: Financial Legacy Management, Inc.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Little Rock, AR
- Filing period: October 2026
- Form ADV filing dated: September 29, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/136348
- AdvisorCensus page: https://advisorcensus.com/firm/financial-legacy-management-nc-little-rock-ar-136348

## Quick answers

**How is Financial Legacy Management, NC. compensated?**
On its Form ADV (Item 5.E, October 2026), Financial Legacy Management, NC. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other.

**Where is Financial Legacy Management, NC. located?**
Financial Legacy Management, NC.'s principal office is in Little Rock, AR, according to its Form ADV; the October 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Financial Legacy Management, NC. registered with the SEC or a state?**
Financial Legacy Management, NC. is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 136348.

**How much does Financial Legacy Management, NC. manage?**
Financial Legacy Management, NC. reports $153,128,420 in regulatory assets under management in its Form ADV filing dated September 29, 2026 (100% discretionary).

**How have Financial Legacy Management, NC.'s assets and staff changed since 2024?**
In the Form ADV data for Financial Legacy Management, NC.: Regulatory assets under management: $119,000,000 in the October 2024 data and $153,128,420 in the October 2026 data, up 29%. Total employees: 2 in October 2024 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Financial Legacy Management, NC. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (391); high net worth individuals (56); pension and profit sharing plans (but not the plan participants or government pension plans) (5).

**Which custodians does Financial Legacy Management, NC. use?**
Financial Legacy Management, NC.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Financial Legacy Management, NC. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/136348

**What changed in Financial Legacy Management, NC.'s recent Form ADV filings?**
In the October 2026 filing data: Registered or notice-filed in LA.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Other

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $153,128,420
- Discretionary: $153,128,420
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 391 | $74,881,327 |
| High net worth individuals | 56 | $72,747,093 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 5 | $5,500,000 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services

### Firm details
- Registered since: 2024 (2 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AR, LA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Conway, AR

### Websites listed on Form ADV (Item 1.I)
- financiallegacymanagement.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2024 | $119,000,000 | 2 | September 24, 2024 |
| October 2025 | $135,000,000 | 2 | March 27, 2025 |
| October 2026 | $153,128,420 | 2 | September 29, 2026 |

Regulatory assets under management: $119,000,000 in the October 2024 data and $153,128,420 in the October 2026 data, up 29%.
Total employees: 2 in October 2024 and 2 in October 2026.

## Changes in the filing (last 12 months)

### October 2026
- Registered or notice-filed in LA.

### April 2026
- Regulatory assets under management went from $135,000,000 to $155,000,000 (+15%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Financial Legacy Management, NC. (CRD 136348): Form ADV filing data as of October 2026.