Data / Investment advisers / Arkansas / Financial Legacy Management, NC.
Financial Legacy Management, NC., Little Rock, AR: $153 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Financial Legacy Management, NC. is an SEC registered investment adviser with its main office in Little Rock, Arkansas and reports $153 million in regulatory assets under management in its Form ADV filed September 29, 2026. Its clients include individuals, high net worth individuals and pension and profit sharing plans. It is paid through a percentage of assets under management, hourly charges and fixed fees.
The request: Watch Financial Legacy Management, NC. (CRD number 136348): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 136348
- SEC file number
- 801-131149
- SEC status
- Approved, effective September 25, 2024
- Legal name
- Financial Legacy Management, Inc.
- Main office
- 13 Office Park Drive, Little Rock, AR 72211
- Phone
- (501) 224-7526
- Website
- financiallegacymanagement.com
- Regulatory AUM
- $153,128,420 in the Form ADV filed September 29, 2026
- Discretionary AUM
- $153,128,420
- Accounts
- 771
- Employees
- 2, of which 2 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, hourly charges, fixed fees, other fees
- Other offices
- 1
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- September 29, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 391 | $74.9 million |
| High net worth individuals | 56 | $72.7 million |
| Pension and profit sharing plans | 5 | $5.5 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| October 2, 2026 | $153.1 million | September 29, 2026 |
| April 1, 2026 | $155 million | March 30, 2026 |
| December 1, 2025 | $135 million | March 27, 2025 |
Other advisers in Little Rock
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Brown Capital Management, LLC | Little Rock | $216.1 million | Not listed | adviserinfo.sec.gov |
| Lieblong & Associates, Inc. | Little Rock | $197.9 million | 1 | adviserinfo.sec.gov |
| Crews & Associates, Inc. | Little Rock | $181.1 million | Not listed | adviserinfo.sec.gov |
| Westrock Asset Management, LLC | Little Rock | $162.7 million | 3 | adviserinfo.sec.gov |
| Corkern & Co., Inc. | Little Rock | $161.9 million | Not listed | adviserinfo.sec.gov |
| Rivertree Wealth | Little Rock | $143.1 million | Not listed | adviserinfo.sec.gov |
| Hatcher Capital Investments, Inc. | Little Rock | $127.5 million | Not listed | adviserinfo.sec.gov |
| Retirepath Wealth, LLC | Little Rock | $109.7 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Little Rock, AR
- Investment advisers in Arkansas
- Advisers with $100 million to $500 million in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- Financial Legacy Management, NC. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.