LEGACY FINANCIAL ADVISORS, INC.

https://legacyfinancialadvisors.com/sarasota-florida/ COVINGTON, KY Investment Advisor How do I update this listing?

Legacy Financial Advisors is based out of Covington. Legacy Financial Advisors is a large advisory firm with 793 clients and discretionary assets under management (AUM) of $581,428,722 (Form ADV from 2019-09-12). Their last reported 13F filing for Q3 2019 included $300,810,000 in managed 13F securities and a top 10 holdings concentration of 76.33%. Legacy Financial Advisors's largest holding is iShares Edge MSCI Min Vol USA ETF with shares held of 1,897,861. Whalewisdom has at least 8 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $300.81 Million
  • Prior Market Value $282.769 Million
  • New Purchases8 stocks
  • Additional Purchases45 stocks
  • Sold out of6 stocks
  • Reduced holdings in45 stocks
  • Top 10 Holdings % 76.33 %
  • Turnover % [1]:12.39%
  • Turnover Alt % [2]: 4.88 %
  • Time Held Top20:5.50 quarters
  • Time Held Top10:5.80 quarters
  • Time Held All:6.67 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 9.12%
Performance Last 4 Quarters: 15.91%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

LEGACY FINANCIAL ADVISORS, INC.
117 EAST FOURTH STREET
COVINGTON KY    41011
Country: United States

Business Phone: 859-655-5225
Fax: 859-655-9049
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: KY
Number of employees: 16
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 793
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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LEGACY FINANCIAL ADVISORS, INC.

ownership team - last updated 2019-09-12
Name Title Start Date Direct/Indirect % Ownership
MAISEL, MICHAEL, JOSEPH CEO AND MANAGING PRINCIPAL 07/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. MANAGING PRINCIPAL direct 2011-07-01
LEGACY FINANCIAL ADVISORS, INC. CEO AND MANAGING PRINCIPAL direct 2011-07-01
SARTORI, PAUL, ANTHONY MANAGING PRINCIPAL 07/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. MANAGING PRINCIPAL direct 2011-07-01
LUCAS, PETER, TRENT MANAGING PRINCIPAL 07/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. MANAGING PRINCIPAL direct 2011-07-01
BRANUM, LAURA, LEE CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER direct 2011-07-01
Kuhnhein, Robert, Justin DIRECTOR OF INVESTMENTS 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPUS CAPITAL GROUP, LLC RESEARCH ANALYST direct 2016-01-01
OPUS CAPITAL GROUP, LLC SHAREHOLDER indirect 2016-01-01

LEGACY FINANCIAL ADVISORS, INC.

ownership team - last updated 2019-03-05
Name Title Start Date Direct/Indirect % Ownership
MAISEL, MICHAEL, JOSEPH CEO AND MANAGING PRINCIPAL 07/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. MANAGING PRINCIPAL direct 2011-07-01
LEGACY FINANCIAL ADVISORS, INC. CEO AND MANAGING PRINCIPAL direct 2011-07-01
SARTORI, PAUL, ANTHONY MANAGING PRINCIPAL 07/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. MANAGING PRINCIPAL direct 2011-07-01
LUCAS, PETER, TRENT MANAGING PRINCIPAL 07/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. MANAGING PRINCIPAL direct 2011-07-01
BRANUM, LAURA, LEE CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER direct 2011-07-01
SCHAU, ADRIAN, MICHAEL DIRECTOR OF INVESTMENTS 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. DIRECTOR OF INVESTMENTS direct 2011-07-01

LEGACY FINANCIAL ADVISORS, INC.

ownership team - last updated 2018-10-11
Name Title Start Date Direct/Indirect % Ownership
MAISEL, MICHAEL, JOSEPH CEO AND MANAGING PRINCIPAL 07/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. MANAGING PRINCIPAL direct 2011-07-01
LEGACY FINANCIAL ADVISORS, INC. CEO AND MANAGING PRINCIPAL direct 2011-07-01
SARTORI, PAUL, ANTHONY MANAGING PRINCIPAL 07/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. MANAGING PRINCIPAL direct 2011-07-01
LUCAS, PETER, TRENT MANAGING PRINCIPAL 07/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. MANAGING PRINCIPAL direct 2011-07-01
BRANUM, LAURA, LEE CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER direct 2011-07-01
SCHAU, ADRIAN, MICHAEL DIRECTOR OF INVESTMENTS 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. DIRECTOR OF INVESTMENTS direct 2011-07-01

LEGACY FINANCIAL ADVISORS, INC.

ownership team - last updated 2018-06-15
Name Title Start Date Direct/Indirect % Ownership
BRANUM, LAURA, LEE CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER direct 2011-07-01
MAISEL, MICHAEL, JOSEPH CEO AND MANAGING PRINCIPAL 07/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. MANAGING PRINCIPAL direct 2011-07-01
LEGACY FINANCIAL ADVISORS, INC. CEO AND MANAGING PRINCIPAL direct 2011-07-01
SARTORI, PAUL, ANTHONY MANAGING PRINCIPAL 07/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. MANAGING PRINCIPAL direct 2011-07-01
LUCAS, PETER, TRENT MANAGING PRINCIPAL 07/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. MANAGING PRINCIPAL direct 2011-07-01
SCHAU, ADRIAN, MICHAEL DIRECTOR OF INVESTMENTS 07/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGACY FINANCIAL ADVISORS, INC. DIRECTOR OF INVESTMENTS direct 2011-07-01

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