SourcingSourcing

LEGACY FINANCIAL ADVISORS, INC.

C30
CRD 158675·SEC 801-72637·COVINGTON, KY
AUM
$1.52B
$1B+
Est. Revenue
$15.2M
@ 1% on AUM
Est. EBITDA
$4.5M
@ 30% margin
Est. Deal Value
$36.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
LEGACY FINANCIAL ADVISORS, INC.
CRD
158675
SEC file #
801-72637
EIN
204972254
DBA names
—

Economics

AUM
$1.52B
AUM band
$1B+
AUM trajectory
'20'26
$581.4M → $1.52B▲ +161%
Client mix
Individuals Other579
Individuals High Net Worth482
Charitable Organizations4

Operations

Employees (total)
21
Advisory staff (per ADV)
12
Advisory staff (5-yr trend)
'20'26
9 advisors → 12 advisors▲ +33%
Primary office
COVINGTON KY
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesSelection of other advisers
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/06/2026
ADV-W filed at
—
Website
legacyfinancialadvisors.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
LUCAS, PETER, TRENT
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
6
Control Persons
LUCAS, PETER, TRENT
MAISEL, MICHAEL, JOSEPH
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
LEGACYFINANCIALADVISORS.COM
Rdap Domain Creation Date
2004-04-30T05:17:57Z
Rdap Firm Age Years
22
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
6
Form 5500 Total Participants
4
Form 5500 Total Compensation
135,615
Form 5500 Compensation Trajectory 3y
2025135,615
20240
Form 5500 Plan Count Trajectory 3y
20255
20241
Schedule C Total Compensation
135,615
Schedule C Service Provider Rows
6

SEC EDGAR

Edgar Cik
0001730810
Edgar Registered
Yes
Edgar Filing Count
37
Edgar First Filing Date
2018-02-09
Edgar Last Filing Date
2026-04-30
Edgar 13f Count
35
Edgar 13f Latest AUM Estimate
Filing Date2026-04-30
Accession0001765380-26-000129

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
13
Bc Firm IAR Count
13
Custodian Candidates
Full
Fidelity4
E*trade4
Edgar Addresses
Mailing
117 EAST FOURTH STREETCOVINGTON, KY 41011
Business
117 EAST FOURTH STREETCOVINGTON, KY 41011
Edgar EIN
204972254
Edgar Recent Filings
13F-HR2026-04-30 · 0001765380-26-000129
13F-HR2026-02-04 · 0001730810-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-04-30T05:17:57Z
Rdap Domain Last Changed
2025-05-01T17:34:39Z
Rdap Nameservers
Ns71.domaincontrol.comNs72.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
2468959
Trust Company Affiliate
No

People (16)

16
SARTORI, PAUL, ANTHONY
IAR · Direct Owner · 37.5%
1321982
MAISEL, MICHAEL, JOSEPH
IAR · Direct Owner · 37.5%
4214372
PETER TRENT LUCAS
Direct Owner · 37.5%
2468959
Kuhnhein, Robert, Justin
IAR · Executive Officer · 2.5%
6622945
LAURA LEE BRANUM
Executive Officer · 2.5%
2581953
KASTING, JONATHAN, GLENN
Executive Officer · 2.5%
7176479
Lars Edward Meiman
IAR
7035553
JOHN MICHAEL WILDERN
IAR
4109291
ROBERT CLAYTON SCROGGINS
IAR
4929045
MATTHEW JAMES AQUILIA
IAR
3168428
MICHAEL JAMES MCWHINNIE
IAR
4334896
SETH HOWARD SANBORN
IAR
5464772
JOHN MORGAN SMITH
IAR
3110921
JUSTIN KERR BROWN
IAR
5058577
Mitchell James Lampert
IAR
6990038
MICHAEL JONATHAN MAISEL
IAR
7613652