LEGACY WEALTH MANAGEMENT, INC

HTTP://WWW.LEGACYWEALTH.COM MEMPHIS, TN Investment Advisor How do I update this listing?

Legacy Wealth Management is based out of Memphis. Legacy Wealth Management is a large advisory firm with 1085 clients and discretionary assets under management (AUM) of $1,400,870,744 (Form ADV from 2019-06-01). Their last reported 13F filing for Q2 2020 included $612,332,000 in managed 13F securities and a top 10 holdings concentration of 99.54%. Legacy Wealth Management's largest holding is iShares Russell 1000 ETF with shares held of 1,072,269. Legacy Wealth Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 42 13F filings

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06/30/2020

13F Activity

  • Market Value $612.332 Million
  • Prior Market Value $550.607 Million
  • New Purchases2 stocks
  • Additional Purchases0 stocks
  • Sold out of0 stocks
  • Reduced holdings in11 stocks
  • Top 10 Holdings % 99.54 %
  • Turnover % [1]:15.38%
  • Turnover Alt % [2]: 17.61 %
  • Time Held Top20:21.38 quarters
  • Time Held Top10:15.90 quarters
  • Time Held All:22.23 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.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 31.04%
Performance Last 4 Quarters: -6.18%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

LEGACY WEALTH MANAGEMENT INC
1715 AARON BRENNER DR. SUITE 301
MEMPHIS TN    38120-1443
Country: United States

Business Phone: 901-758-9006
Fax: 901-758-9007
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: TN
Number of employees: 23
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 113,281,000
Total Number of Clients: 1085
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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LEGACY WEALTH MANAGEMENT INC

ownership team - last updated 2020-06-25
Name Title Start Date Direct/Indirect % Ownership
MILLER, DUNCAN, L MANAGING DIRECTOR OF CLIENT SERVICE 04/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC PORTFOLIO MANAGER direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC DIRECTOR CLIENT SERVICES & PORTFOLIO MANAGEMENT direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC MANAGING DIRECTOR OF CLIENT SERVICE direct 2013-04-01
PEYTON, HALLIE, L DIRECTOR OF CLIENT SERVICE 04/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICE direct 2013-04-01
LEGACY WEALTH MANAGEMENT INC VICE PRESIDENT direct 1999-09-01 2007-09-13
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICES & BUSINESS DEVELOPMENT direct 1999-09-01 2008-09-26
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICES & BUSINESS DEVELOPEMENT direct 1999-09-01 2013-01-18
ISAACS, JAMES, J. CEO & PRESIDENT 02/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC VICE PRESIDENT direct 2004-05-01
LEGACY WEALTH MANAGEMENT INC CEO & PRESIDENT direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC PRESIDENT direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF OPERATIONS OFFICER direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CEO & PRESIDENT direct 2011-02-01
SIMMONS, CATHY, ANN CHIEF COMPLIANCE OFFICER 04/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR CLIENT SERVICES & FINANCIAL PLANNING direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF COMPLIANCE OFFICER/DIRECTOR CLIENT SERVICES direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF COMPLIANCE OFFICER/DIRECTOR CLIENT SERVICES & FINANCIAL PLANNING direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2007-04-01
DAVES, HOWARD, CLIFTON CONTROLLER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC CONTROLLER direct 2005-01-01
MAZZOLA, LINDSEY, BELL DIRECTOR OF CLIENT OPERATIONS 05/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC PORTFOLIO MANAGER direct 2005-01-01
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT OPERATIONS direct 2012-05-01
JALENAK, E, CHARLES DIRECTOR & CHAIRMAN OF THE INVESTMENT COMMITTEE 01/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF WEALTH PLANNING direct 2013-01-01
SIEVERS, ROBIN, KEITH DIRECTOR OF CLIENT SERVICE 04/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICE direct 2013-04-01

LEGACY WEALTH MANAGEMENT INC

ownership team - last updated 2020-03-10
Name Title Start Date Direct/Indirect % Ownership

LEGACY WEALTH MANAGEMENT INC

ownership team - last updated 2019-08-28
Name Title Start Date Direct/Indirect % Ownership
PEYTON, HALLIE, L DIRECTOR OF CLIENT SERVICE 04/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICE direct 2013-04-01
LEGACY WEALTH MANAGEMENT INC VICE PRESIDENT direct 1999-09-01 2007-09-13
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICES & BUSINESS DEVELOPMENT direct 1999-09-01 2008-09-26
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICES & BUSINESS DEVELOPEMENT direct 1999-09-01 2013-01-18
ISAACS, JAMES, J. CEO & PRESIDENT 02/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC VICE PRESIDENT direct 2004-05-01
LEGACY WEALTH MANAGEMENT INC CEO & PRESIDENT direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC PRESIDENT direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF OPERATIONS OFFICER direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CEO & PRESIDENT direct 2011-02-01
SIMMONS, CATHY, ANN CHIEF COMPLIANCE OFFICER 04/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR CLIENT SERVICES & FINANCIAL PLANNING direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF COMPLIANCE OFFICER/DIRECTOR CLIENT SERVICES direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF COMPLIANCE OFFICER/DIRECTOR CLIENT SERVICES & FINANCIAL PLANNING direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2007-04-01
MILLER, DUNCAN, L MANAGING DIRECTOR OF CLIENT SERVICE 04/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC PORTFOLIO MANAGER direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC DIRECTOR CLIENT SERVICES & PORTFOLIO MANAGEMENT direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC MANAGING DIRECTOR OF CLIENT SERVICE direct 2013-04-01
DAVES, HOWARD, CLIFTON CONTROLLER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC CONTROLLER direct 2005-01-01
MAZZOLA, LINDSEY, BELL DIRECTOR OF CLIENT OPERATIONS 05/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC PORTFOLIO MANAGER direct 2005-01-01
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT OPERATIONS direct 2012-05-01
JALENAK, E, CHARLES DIRECTOR & CHAIRMAN OF THE INVESTMENT COMMITTEE 01/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF WEALTH PLANNING direct 2013-01-01
SIEVERS, ROBIN, KEITH DIRECTOR OF CLIENT SERVICE 04/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICE direct 2013-04-01

LEGACY WEALTH MANAGEMENT INC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
PEYTON, HALLIE, L DIRECTOR OF CLIENT SERVICE 04/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICE direct 2013-04-01
LEGACY WEALTH MANAGEMENT INC VICE PRESIDENT direct 1999-09-01 2007-09-13
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICES & BUSINESS DEVELOPMENT direct 1999-09-01 2008-09-26
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICES & BUSINESS DEVELOPEMENT direct 1999-09-01 2013-01-18
ISAACS, JAMES, J. CEO & PRESIDENT 02/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC VICE PRESIDENT direct 2004-05-01
LEGACY WEALTH MANAGEMENT INC CEO & PRESIDENT direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC PRESIDENT direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF OPERATIONS OFFICER direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CEO & PRESIDENT direct 2011-02-01
SIMMONS, CATHY, ANN CHIEF COMPLIANCE OFFICER 04/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR CLIENT SERVICES & FINANCIAL PLANNING direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF COMPLIANCE OFFICER/DIRECTOR CLIENT SERVICES direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF COMPLIANCE OFFICER/DIRECTOR CLIENT SERVICES & FINANCIAL PLANNING direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2007-04-01
MILLER, DUNCAN, L MANAGING DIRECTOR OF CLIENT SERVICE 04/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC PORTFOLIO MANAGER direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC DIRECTOR CLIENT SERVICES & PORTFOLIO MANAGEMENT direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC MANAGING DIRECTOR OF CLIENT SERVICE direct 2013-04-01
DAVES, HOWARD, CLIFTON CONTROLLER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC CONTROLLER direct 2005-01-01
MAZZOLA, LINDSEY, BELL DIRECTOR OF CLIENT OPERATIONS 05/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC PORTFOLIO MANAGER direct 2005-01-01
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT OPERATIONS direct 2012-05-01
OVERCAST, WILLIAM, COIL DIRECTOR OF FINANCIAL PLANNING 05/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF FINANCIAL PLANNING direct 2012-05-01
JALENAK, E, CHARLES DIRECTOR & CHAIRMAN OF THE INVESTMENT COMMITTEE 01/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF WEALTH PLANNING direct 2013-01-01
SIEVERS, ROBIN, KEITH DIRECTOR OF CLIENT SERVICE 04/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICE direct 2013-04-01

LEGACY WEALTH MANAGEMENT INC

ownership team - last updated 2018-05-18
Name Title Start Date Direct/Indirect % Ownership
PEYTON, HALLIE, L DIRECTOR OF CLIENT SERVICE 04/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICE direct 2013-04-01
LEGACY WEALTH MANAGEMENT INC VICE PRESIDENT direct 1999-09-01 2007-09-13
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICES & BUSINESS DEVELOPMENT direct 1999-09-01 2008-09-26
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICES & BUSINESS DEVELOPEMENT direct 1999-09-01 2013-01-18
ISAACS, JAMES, J. CEO & PRESIDENT 02/01/2011 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC VICE PRESIDENT direct 2004-05-01
LEGACY WEALTH MANAGEMENT INC CEO & PRESIDENT direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC PRESIDENT direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF OPERATIONS OFFICER direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CEO & PRESIDENT direct 2011-02-01
SIMMONS, CATHY, ANN CHIEF COMPLIANCE OFFICER 04/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR CLIENT SERVICES & FINANCIAL PLANNING direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF COMPLIANCE OFFICER/DIRECTOR CLIENT SERVICES direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF COMPLIANCE OFFICER/DIRECTOR CLIENT SERVICES & FINANCIAL PLANNING direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2007-04-01
MILLER, DUNCAN, L MANAGING DIRECTOR OF CLIENT SERVICE 04/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC PORTFOLIO MANAGER direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC DIRECTOR CLIENT SERVICES & PORTFOLIO MANAGEMENT direct 2004-07-01
LEGACY WEALTH MANAGEMENT INC MANAGING DIRECTOR OF CLIENT SERVICE direct 2013-04-01
DAVES, HOWARD, CLIFTON CONTROLLER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC CONTROLLER direct 2005-01-01
MAZZOLA, LINDSEY, BELL DIRECTOR OF CLIENT OPERATIONS 05/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC PORTFOLIO MANAGER direct 2005-01-01
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT OPERATIONS direct 2012-05-01
OVERCAST, WILLIAM, COIL DIRECTOR OF FINANCIAL PLANNING 05/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF FINANCIAL PLANNING direct 2012-05-01
JALENAK, E, CHARLES DIRECTOR & CHAIRMAN OF THE INVESTMENT COMMITTEE 01/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF WEALTH PLANNING direct 2013-01-01
SIEVERS, ROBIN, KEITH DIRECTOR OF CLIENT SERVICE 04/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LEGACY WEALTH MANAGEMENT INC DIRECTOR OF CLIENT SERVICE direct 2013-04-01

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