{ "crd_number": 334697, "slug": "legacy-wealth-advisor-llc-lynchburg-va-334697", "primary_business_name": "LEGACY WEALTH ADVISOR LLC", "legal_name": "LEGACY WEALTH ADVISOR LLC", "dbas": [], "city": "Lynchburg", "state": "VA", "country": "United States", "cbsa_code": "31340", "metro": { "cbsa_code": "31340", "common_name": "Lynchburg", "msa_name": "Lynchburg, VA", "path": "/advisors/va/lynchburg" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2025-07-14", "years_registered": 1, "period": "2026-10-01", "filing_date": "2026-03-06", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": null, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals" ], "wrap_fee_participant": true, "disclosure_yes_count": 3, "states_registered": [ "VA" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/334697", "disclosure_items": [ { "item": "11.D(3)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator 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?" }, { "item": "11.D(5)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?" }, { "item": "11.E(4)", "question": "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?" } ], "city_as_filed": "LYNCHBURG", "url": "https://advisorcensus.com/firm/legacy-wealth-advisor-llc-lynchburg-va-334697", "display_name": "Legacy Wealth Advisor LLC", "summary": "Legacy Wealth Advisor LLC is an SEC-registered investment advisory firm in Lynchburg, VA, registered since 2025, with no regulatory assets under management reported in its Form ADV filing dated March 6, 2026.", "citation": "AdvisorCensus. Legacy Wealth Advisor LLC (CRD 334697): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Legacy Wealth Advisor LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Legacy Wealth Advisor LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "Where is Legacy Wealth Advisor LLC located?", "a": "Legacy Wealth Advisor LLC's principal office is in Lynchburg, VA, according to its Form ADV." }, { "q": "Is Legacy Wealth Advisor LLC registered with the SEC or a state?", "a": "Legacy Wealth Advisor LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 334697." }, { "q": "How have Legacy Wealth Advisor LLC's assets and staff changed since 2025?", "a": "In the Form ADV data for Legacy Wealth Advisor LLC: Total employees: 1 in October 2025 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "Does Legacy Wealth Advisor LLC report any disciplinary disclosures?", "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted), 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction), 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 SEC record: https://adviserinfo.sec.gov/firm/summary/334697" }, { "q": "Does Legacy Wealth Advisor LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated May 12, 2025 says: \"There is no minimum account size to open and maintain an advisory account.\"" } ], "filing_history": [ { "period": "2025-10-01", "regulatory_assets_under_management": 0.0, "total_employees": 1, "filing_date": "2025-07-11" }, { "period": "2026-10-01", "regulatory_assets_under_management": null, "total_employees": 1, "filing_date": "2026-03-06" } ], "recent_changes": [], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated May 12, 2025", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "There is no minimum account size to open and maintain an advisory account." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": 0.0, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "There is no minimum account size to open and maintain an advisory account." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/legacy-wealth-advisor-llc-lynchburg-va-334697.md", "clients": [], "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/334697", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }