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LEGACY CAPITAL

THE WOODLANDS, TX · CRD 332184 · IAPD ↗ · lead-a-legacy.com · (281) 595-1990

$273.4MRegulatory AUM
3Advisory reps
3Employees
0Clients
0Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
September 2026 — LEGACY CAPITAL notice-filed in AR.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2026 — LEGACY CAPITAL notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
66
April 2026 — LEGACY CAPITAL reported RAUM up 41% ($193.9M -> $273.4M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
68
April 2026 — LEGACY CAPITAL now reports custody of client assets ($50.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
78
April 2026 — LEGACY CAPITAL now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
70
November 2024 — LEGACY CAPITAL's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
42
October 2024 — LEGACY CAPITAL notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
67
October 2024 — LEGACY CAPITAL grew from 1 to 3 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
95
September 2024 — LEGACY CAPITAL (THE WOODLANDS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.