RH
Richard D. Harig
LEGACY RESOURCES NC
Northbrook, IL
Some features on this profile are disabled
CRD#: 871710
RH
Professional summary
Richard David John Harig, CFP®, who also goes by Richard David Harig, Rick Harig, is a registered financial advisor currently at LEGACY RESOURCES NC, LLC located in Northbrook, Illinois and FORUM FINANCIAL MANAGEMENT, LP located in Lenoir, North Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Richard has worked at 22 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard David Harig | Rick Harig
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)Legacy Resources NC, LLC; not investment-related; 1395 River Club Ridge, Lenoir, NC; Real Estate; Founder; 1/15/1996; 90 hours per month; 80 hours during securities trading hours; responsible for philanthropy consulting 2)Medinah Road Development Company; investment-related; 804 Roberts Road, Barrington, IL; Real estate company; Partner; 10/17/2016; 12 hours per month; 10 hours during securities trading hours; joint oversight of the land holding. 3)Resource Brokerage; not investment-related; 1501 Woodfield Road, Suite 110E, Schaumburg, IL; Insurance; Insurance agent; 11/15/2017; 1- 5 hours per month; 2 hours during securities trading hours; sell Medicare supplemental insurance. 4)Target/Ash Insurance; not investment-related; 11020 Oakmont Street, Overland Park, KS; insurance; insurance agent; 1/15/2018; 5-10 hours per month; 5 hours during securities trading hours; provide insurance brokerage services. 5)Jackson Ventures, LLC; investment-related; 3240 N Lake Shore Dr., 3A, Chicago, IL 60657; venture capital firm; Contractor; 7/2020; 1-5 hours per month; 1-5 hours during securities trading hours; keeping investors informed. 6)Text and Context, L.L.C.; not investment-related; 1395 River Club Ridge, Lenoir, NC; commercial products and services; Founder; 7/15/2020; 50 hours per month; 40 hours during securities trading hours; facilitate introductions of potential customers and suppliers of their products and services and provide marketing support. 7)Opco/Realco; investment-related; 6641 West Broad Street, Suite 100, Richmond, VA; Real estate development in formation; Vice President; 12/04/2020; 10 hours per month; 10 hours during securities trading hours; gather documentation for property entitlements and business plans, prepare presentations for equity investors and lenders and coordinate with consultants, contractors, and other strategic partners in development. 8)Respada; investment-related; 110 Wall Street Suite 5054, New York, New York 10038; Family Office Platform; Member; 07/2021; 0-15 hours per month; 0-15 hours during securities trading hours; network with members and non-members regarding private equity and philanthropy. 9)Efficient Capital Management, LLC; investment-related; 4355 Weaver Parkway, Warrenville, IL 43555; commodity pool operator; Partner; 12/01/2007; 5-10 hours per month; 0-5 during securities trading hours; passive investor 10)Salient Guard; investment-related; 2874 Leeds Manor Rd., Markham, VA 22643; seed-stage technology company; Advisor; 10 hours per month; 10 hours during securities trading hours; recruit key marketing and outreach talent, as well as speak with advisors that have clients that could invest. 11)KORE Venture; not investment-related; 28 Ticklefancy Lane, Salem, NH 03079; Nonprofit focused on meeting the needs of young adult inheritors; President Emeritus; 5/1/2020; 3 hours per month; 3 hours during securities trading hours; no duties. 12)Entrust; not investment-related; 910 Pinon Ranch View, Ste. 101, Colorado Springs, CO. 80907; Non-profit; Board Member- Board Chair; 01/2001; 10 hours per month; 3 hours during securities trading hours; leadership of the Board
CRS (Client Relationship Summary) - RIA
Click below to view Richard David John Harig's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2005
Experience
Current
January 18, 2002 - Present
LEGACY RESOURCES NC, LLC
RIA
CRD#: 123144
Northbrook, IL
Current
June 20, 2017 - Present
FORUM FINANCIAL MANAGEMENT, LP
RIA
CRD#: 145706
LENOIR, NC
Current
May 2, 2025 - Present
MACARTHUR STRATEGIC CAPITAL, LLC
Office #1: 234 S Downing St. Attn: Jessica Lee Billingsley, Denver, CO 80209BD
CRD#: 315178
DENVER, CO
Past
June 26, 2018 - December 31, 2024
GREAT POINT CAPITAL LLC
BD
CRD#: 114203
CHICAGO, IL
Past
July 27, 2016 - June 30, 2020
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
May 21, 2015 - February 16, 2018
LICCAR SECURITIES, LLC
BD
CRD#: 151034
CHICAGO, IL
Past
September 30, 2011 - July 15, 2013
HEDGE HARBOR INC.
BD
CRD#: 44324
NEW YORK, NY
Past
June 15, 2009 - October 14, 2009
THE TAVENNER COMPANY
BD
CRD#: 18004
SPRINGFIELD, OH
Past
January 24, 2007 - April 2, 2007
SPIKE FINANCIAL SERVICES, LLC
BD
CRD#: 112193
CHICAGO, IL
Past
January 4, 2002 - January 18, 2005
VALMARK SECURITIES, INC.
BD
CRD#: 31243
AKRON, OH
Past
August 9, 2000 - January 7, 2002
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
January 14, 1998 - August 14, 2000
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
January 20, 1997 - December 10, 1997
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
January 10, 1997 - February 10, 1997
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
June 15, 1994 - December 31, 1996
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
May 18, 1988 - July 25, 1989
GOVERNORS CAPITAL, INC.
BD
CRD#: 13677
Past
July 17, 1987 - August 15, 1989
COMMON GOAL SECURITIES, INC.
BD
CRD#: 15503
Past
May 12, 1987 - September 16, 1987
SECURITIES GROUP OF NORTH AMERICA, INC.
BD
CRD#: 15155
Past
December 27, 1985 - February 11, 1987
M. SEAR SECURITIES, INC.
BD
CRD#: 14050
Past
August 21, 1985 - March 26, 1988
PRINCETON AMERICAN EQUITIES CORPORATION
BD
CRD#: 14491
Past
June 19, 1984 - August 3, 1984
SOURCE SECURITIES, INC.
BD
CRD#: 8026
Past
October 13, 1983 - December 16, 1983
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Past
September 24, 1979 - October 11, 1983
ENTERPRISE FUND DISTRIBUTORS, INC.
BD
CRD#: 883
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FF
FORUM FINANCIAL MANAGEMENT, LP
FORUM | WEALTH ADVISER ALLIANCE | FORUM FINANCIAL MANAGEMENT, LP | FORUM FINANCIAL MANAGEMENT, LLC | FORUM FINANCIAL
CRD#: 145706 / SEC#: 801-69970
RIA
Registered Investment Advisory firm - (3/9/2009 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/2/2025)
RR
Colorado(5/2/2025)
RR
Delaware(10/16/2025)
RR
Florida(8/1/2025)
RR
Illinois(8/1/2025)
RR
Minnesota(5/29/2025)
RR
Missouri(5/2/2025)
RR
New York(5/2/2025)
IAR
North Carolina(1/26/2024)
RR
North Carolina(5/21/2025)
RR
Texas(6/18/2025)
RR
Virginia(6/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/12/1979
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
FF
FORUM FINANCIAL MANAGEMENT, LP
FORUM | WEALTH ADVISER ALLIANCE | FORUM FINANCIAL MANAGEMENT, LP | FORUM FINANCIAL MANAGEMENT, LLC | FORUM FINANCIAL
CRD#: 145706 / SEC#: 801-69970
RIA
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Contact information
Main Address
1900 South Highland Avenue Suite 100, Lombard, IL 60148
Mailing Address
Phone number
(630) 873-8520
Established
Firm type
Fiscal year end
# of Employees
140
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,456 |
| AUM (Assets Under Management) | $ 9,030,636,924 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/08/2025 | ||
| 12/20/2024 | ||
| 10/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
