Data / Investment advisers / North Carolina / The Financial Legacy Group
The Financial Legacy Group, Charlotte, NC: $107 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
The Financial Legacy Group is an SEC registered investment adviser with its main office in Charlotte, North Carolina and reports $107 million in regulatory assets under management in its Form ADV filed January 27, 2026. Its clients include high net worth individuals, individuals and corporations and other businesses. It is paid through a percentage of assets under management, hourly charges and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 287632
- SEC file number
- 801-135420
- SEC status
- Approved, effective February 26, 2026
- Legal name
- The Financial Legacy Group, LLC
- Main office
- 2108 South Blvd Suite 109, Charlotte, NC 28203
- Phone
- (704) 469-6614
- Website
- thefinanciallegacygroup.com
- Regulatory AUM
- $107,292,807 in the Form ADV filed January 27, 2026
- Discretionary AUM
- $107,292,807
- Accounts
- 414
- Employees
- 3, of which 2 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- January 27, 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 |
|---|---|---|
| High net worth individuals | 62 | $85 million |
| Individuals (other than high net worth individuals) | 79 | $17.7 million |
| Corporations or other businesses | 2 | $4.4 million |
| Charitable organizations | 1 | $214,515 |
Other advisers in Charlotte
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Blue Financial | Charlotte | $145.1 million | Not listed | adviserinfo.sec.gov |
| Forest Capital | Charlotte | $143.2 million | Not listed | adviserinfo.sec.gov |
| Calamita Wealth Management | Charlotte | $138.2 million | Not listed | adviserinfo.sec.gov |
| Tricapital Wealth Management, Inc. | Charlotte | $132.7 million | Not listed | adviserinfo.sec.gov |
| Kucharo Wealth | Charlotte | $123.7 million | Not listed | adviserinfo.sec.gov |
| Indexperts, LLC | Charlotte | $100.9 million | Not listed | adviserinfo.sec.gov |
| The Zabel Companies, LLC | Charlotte | Not listed | 10 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Charlotte, NC
- Investment advisers in North Carolina
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- The Financial Legacy Group 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.