SourcingSourcing

LEGACY WEALTH ASSET MANAGEMENT, LLC

C32
CRD 306732·SEC 801-118042·WOODBURY, MN
AUM
$546.0M
$500M-$1B
Est. Revenue
$5.5M
@ 1% on AUM
Est. EBITDA
$1.6M
@ 30% margin
Est. Deal Value
$13.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
LEGACY WEALTH ASSET MANAGEMENT, LLC
CRD
306732
SEC file #
801-118042
EIN
844557824
DBA names
Legacy Wealth

Economics

AUM
$546.0M
AUM band
$500M-$1B
AUM trajectory
'21'26
$120.2M → $546.0M▲ +354%
Client mix
Individuals Other347
Individuals High Net Worth146

Operations

Employees (total)
14
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'21'26
4 advisors → 4 advisors▬ 0%
Primary office
WOODBURY MN
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/13/2026
ADV-W filed at
—
Website
legacywealthwisdom.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
LEGACY WEALTH, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
4
Control Persons
LEGACY WEALTH, LLC
BROCKER, BENJAMIN, MICHAEL
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
LEGACYWEALTHWISDOM.COM
Rdap Domain Creation Date
2009-03-18T15:35:00Z
Rdap Firm Age Years
17
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001846151
Edgar Registered
Yes
Edgar Filing Count
24
Edgar First Filing Date
2021-03-25
Edgar Last Filing Date
2026-04-08
Edgar 13f Count
22
Edgar 13f Latest AUM Estimate
Filing Date2026-04-08
Accession0001846151-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
4
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
683 BIELENBERG DRIVESUITE 101WOODBURY, MN 55125
Business
683 BIELENBERG DRIVESUITE 101WOODBURY, MN 55125
Edgar EIN
844557824
Edgar Recent Filings
13F-HR2026-04-08 · 0001846151-26-000002
13F-HR2026-01-12 · 0001846151-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-03-18T15:35:00Z
Rdap Domain Last Changed
2023-03-16T16:27:00Z
Rdap Nameservers
Ns21.domaincontrol.comNs22.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
No

People (6)

6
BROCKER, MICHAEL, DOUGLAS
IAR · Executive Officer · 2.5%
1951402
BROCKER, BENJAMIN, MICHAEL
IAR · Executive Officer · 2.5%
5687239
Brocker, Johnathan, Michael
Executive Officer · 2.5%
6348985
MATTHEW MICHAEL BROCKER
IAR
6213411
Brett Skrede
IAR
7642546
Joshua Michael Brocker
IAR
6506504