# Legacy Advisory Group, Inc

> Legacy Advisory Group, Inc is a state-registered investment advisory firm in Santa Ana, CA, registered since 2024, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated September 22, 2026.

- CRD: 328470
- Filed as: LEGACY ADVISORY GROUP, INC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Santa Ana, CA
- Filing period: October 2026
- Form ADV filing dated: September 22, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/328470
- AdvisorCensus page: https://advisorcensus.com/firm/legacy-advisory-group-inc-santa-ana-ca-328470

## Quick answers

**How is Legacy Advisory Group, Inc compensated?**
On its Form ADV (Item 5.E, October 2026), Legacy Advisory Group, Inc reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Legacy Advisory Group, Inc located?**
Legacy Advisory Group, Inc's principal office is in Santa Ana, CA, according to its Form ADV.

**Is Legacy Advisory Group, Inc registered with the SEC or a state?**
Legacy Advisory Group, Inc is a state-registered investment advisory firm, registered since 2024. Status as filed: APPROVED. CRD 328470.

**How much does Legacy Advisory Group, Inc manage?**
Legacy Advisory Group, Inc reports $53,239,039 in regulatory assets under management in its Form ADV filing dated September 22, 2026 (100% discretionary).

**What types of clients does Legacy Advisory Group, Inc serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (48); high net worth individuals (24); corporations or other businesses not listed above (4).

**Does Legacy Advisory Group, Inc report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.C(3) (SEC or CFTC finding of causing a business's authorization to be denied, suspended, revoked, or restricted) and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). 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/328470

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $53,239,039
- Discretionary: $53,239,039
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 48 | $15,264,912 |
| High net worth individuals | 24 | $32,806,952 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 4 | $5,167,175 |
| Other | 0 | $0 |

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

### Firm details
- Registered since: 2024 (2 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(3): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?
- 11.E(4): Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?

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/328470

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Legacy Advisory Group, Inc (CRD 328470): Form ADV filing data as of October 2026.