SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
The Financial Legacy Group
Charlotte, NC
The Financial Legacy Group, LLC, CRD 287632
Firm filing updated January 27, 2026 ·
- $107.3MAssets
- 144Clients
- 2Advisory staff
- 414Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals79
- High net worth individuals62
- Corporations or other businesses2
- Charities1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 79 | $17.7 million |
| High net worth individuals | 62 | $85.0 million |
| Charitable organizations | 1 | $214,515 |
| Corporations or other businesses not listed above | 2 | $4.4 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Other: "FINANCIAL CONSULTING"
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Other: "FINANCIAL CONSULTING"
Assets and accounts
- Regulatory assets$107.3 million
- Accounts414
- DiscretionaryAll accounts
People
- Employees3
- Advisory staff2
- Broker-dealer reps1
- Licensed insurance agents2
- Planning clients101 to 250
Registration details
- Legal name: The Financial Legacy Group, LLC SEC-registered investment advisor. CRD 287632, SEC file 801-135420.
- Registered with the SEC as an investment advisor (status date on record: February 26, 2026).
Is The Financial Legacy Group a fiduciary?
Short answer: The Financial Legacy Group is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 1 staff member is a broker-dealer representative. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
2 staff are licensed insurance agents.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.