# FWM Legacy, LLC

> FWM Legacy, LLC is an exempt reporting adviser in Leawood, KS, filing reports since 2022. Exempt reporting advisers do not report regulatory assets under management on Form ADV.

- CRD: 144344
- Filed as: FWM LEGACY, LLC
- Legal name: Frontier Wealth Management, LLC
- Also doing business as: FWM LEGACY, LLC
- Reporting status: Exempt reporting adviser (status as filed: ERA - Active)
- Location: Leawood, KS
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/144344
- AdvisorCensus page: https://advisorcensus.com/firm/fwm-legacy-llc-leawood-ks-144344

## Quick answers

**Where is FWM Legacy, LLC located?**
FWM Legacy, LLC's principal office is in Leawood, KS, according to its Form ADV.

**How does FWM Legacy, LLC report to regulators?**
FWM Legacy, LLC is an exempt reporting adviser, filing reports since 2022. Exempt reporting advisers file a shorter Form ADV. Status as filed: ERA - Active. CRD 144344.

**How have FWM Legacy, LLC's assets and staff changed since 2021?**
In the Form ADV data for FWM Legacy, LLC: Regulatory assets under management: $3,662,348,902 in the October 2021 data and $4,102,344,928 in the October 2022 data, up 12%. Total employees: 51 in October 2021 and 50 in October 2022. Assets under management move with markets as well as with clients coming and going.

**Does FWM Legacy, LLC report any disciplinary disclosures?**
Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/144344

## From the Form ADV filing

### Firm details
- Reporting since: 2022 (3 years)
- Employees: Not reported total, Not reported performing advisory functions
- Wrap fee program participation: Not reported
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/144344

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $3,662,348,902 | 51 | September 8, 2021 |
| October 2022 | $4,102,344,928 | 50 | August 19, 2022 |
| October 2023 | Not reported | Not reported | September 18, 2023 |
| October 2024 | Not reported | Not reported | March 25, 2024 |
| October 2025 | Not reported | Not reported | March 19, 2025 |
| October 2026 | Not reported | Not reported | March 31, 2026 |

Regulatory assets under management: $3,662,348,902 in the October 2021 data and $4,102,344,928 in the October 2022 data, up 12%.
Total employees: 51 in October 2021 and 50 in October 2022.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. FWM Legacy, LLC (CRD 144344): Form ADV filing data as of October 2026.