DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Feed of 09/14/2026
Also filed as John T Buckley
At current firm
3 y
since Sep 12, 2023
In the industry
37 y
since Jul 21, 1989 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Cwm, LLC BD affiliated currentsince Sep 12, 2023 · Walla Walla, Wa
- Buckley Investment Group, LLC formerOct 8, 2003 to Dec 11, 2023 · Walla Walla, Wa
- The Caprock Group, LLC independent RIAFeb 10, 2003 to May 12, 2005 · Boise, Id
- Piper Sandler & Co. institutionalApr 17, 2000 to Jan 15, 2003 · Walla Walla, Wa
Moves
a registration end followed by a registration begin elsewhere
- Buckley Investment Group, LLC to Cwm, LLCleft Dec 11, 2023, registered Sep 12, 2023 (-90 days) · RIA to affiliated broker-dealer or bank · moved with a team
- The Caprock Group, LLC to Buckley Investment Group, LLCleft May 12, 2005, registered Oct 8, 2003 (-582 days) · Other
- Piper Sandler & Co. to The Caprock Group, LLCleft Jan 15, 2003, registered Feb 10, 2003 (26 days) · Other
Signals
- John Timothy Buckley left Buckley Investment Group, Llc for Cwm, Llc (registered 2023-09-12)Dec 11, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address