← Tributary

LEGACY ROAD FAMILY OFFICES

· CRD 337654 · IAPD ↗ · legacyroad.com · 917-626-1042

$117.2MRegulatory AUM
1Advisory reps
1Employees
0Clients
0Planning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
April 2026 — LEGACY ROAD FAMILY OFFICES now reports custody of client assets ($1.6M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
January 2026 — LEGACY ROAD FAMILY OFFICES's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
December 2025 — LEGACY ROAD LLC is now doing business as LEGACY ROAD FAMILY OFFICES.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
95
August 2025 — LEGACY ROAD LLC (location n/a) is newly SEC-registered 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.