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.
Former SEC-registered adviser
Dale Buckner, Inc.
Latest filing Apr 17, 2025
First filing on the tape Mar 31, 2017 · 17 filings
SEC status approved since Apr 25, 2017
RAUM
$168M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$166M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$168M as of Apr 17, 2025
Feb 12, 2018$115M then
HNW client RAUM$70.5M as of Apr 17, 2025
Feb 12, 2018$59.8M then
State-registered IARs (5.B.3)2 as of Apr 17, 2025
Feb 12, 20182 then
Employees (5.A)3 as of Apr 17, 2025
Feb 12, 20182 then
Private funds: no history
RAUM +5.3% over the last fiscal year+3.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 17, 2025; every figure names its basis
- RAUM per advisor
- $83.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 299derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $200,166derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$95.7M57%
- High-net-worth individuals$70.5M42%
- Corporations and businesses$1.4M0.8%
- Individual clients
- 553reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 837reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- Teresa Ann Roop to Tcp Asset Management, LLCMar 9, 2026 · RIA to RIA
- Dale Edward Buckner to Tcp Asset Management, LLCMar 9, 2026 · RIA to RIA
- Dale Edward Buckner to Ambertree Investment Management, Inc.Apr 27, 2017 · Other
Joined, latest
- Dale Edward Buckner from Ambertree Investment Management, Inc.May 19, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Tcp Asset Management, LLCMar 9, 2026 · Amarillo, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Edward Dale Buckner · President/Cco/Chairman Of The Board/Shareholdercontrolsince 02/2006 · owns 75% or more
- Dewayne Brett Hansen · Senior Vice Presidentcontrolsince 07/2018 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Amarillo, Tx · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 852 to 837Mar 27, 2024 to Apr 17, 2025
- HNW clients · 35 to 44Mar 27, 2024 to Apr 17, 2025
- Individual clients · 519 to 553Mar 27, 2024 to Apr 17, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Apr 17, 2025
- Discretionary RAUM · $150M to $159MMar 27, 2024 to Apr 17, 2025
- HNW RAUM · $52.7M to $70.5MMar 27, 2024 to Apr 17, 2025
- Individual RAUM · $105M to $95.7MMar 27, 2024 to Apr 17, 2025
- Non-discretionary RAUM · $8.7M to $8.6MMar 27, 2024 to Apr 17, 2025
- RAUM · $159M to $168MMar 27, 2024 to Apr 17, 2025
- Accounts · 832 to 852Mar 29, 2023 to Mar 27, 2024
- Corporate clients · 2 to 3Mar 29, 2023 to Mar 27, 2024
- HNW clients · 31 to 35Mar 29, 2023 to Mar 27, 2024
- Individual clients · 580 to 519Mar 29, 2023 to Mar 27, 2024
- Insurance-licensed employees · 2 to 1Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $135M to $150MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $45.1M to $52.7MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $97.3M to $105MMar 29, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $7.8M to $8.7MMar 29, 2023 to Mar 27, 2024
- RAUM · $143M to $159MMar 29, 2023 to Mar 27, 2024
- Accounts · 814 to 832Mar 31, 2022 to Mar 29, 2023
- HNW clients · 33 to 31Mar 31, 2022 to Mar 29, 2023
- Individual clients · 538 to 580Mar 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $138M to $135MMar 31, 2022 to Mar 29, 2023
- HNW RAUM · $50.4M to $45.1MMar 31, 2022 to Mar 29, 2023
- Individual RAUM · $98.8M to $97.3MMar 31, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $11.3M to $7.8MMar 31, 2022 to Mar 29, 2023
- RAUM · $150M to $143MMar 31, 2022 to Mar 29, 2023
- Accounts · 767 to 814Jun 7, 2021 to Mar 31, 2022
- BD registered reps · 2 to 3Jun 7, 2021 to Mar 31, 2022
- HNW clients · 21 to 33Jun 7, 2021 to Mar 31, 2022
- Individual clients · 488 to 538Jun 7, 2021 to Mar 31, 2022
- Employees · 2 to 3Jun 7, 2021 to Mar 31, 2022
- Discretionary RAUM · $113M to $138MJun 7, 2021 to Mar 31, 2022
- HNW RAUM · $33.0M to $50.4MJun 7, 2021 to Mar 31, 2022
- Individual RAUM · $89.4M to $98.8MJun 7, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $10.3M to $11.3MJun 7, 2021 to Mar 31, 2022
- RAUM · $123M to $150MJun 7, 2021 to Mar 31, 2022
- Accounts · 795 to 767Jun 23, 2020 to Mar 31, 2021
- Corporate clients · 1 to 2Jun 23, 2020 to Mar 31, 2021
- HNW clients · 25 to 21Jun 23, 2020 to Mar 31, 2021
Signals
5 dated events
- Dale Buckner, Inc. no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $167.5M)Apr 1, 2026 · Left the SEC roster · derived
- Teresa Ann Roop left Dale Buckner, Inc. for Tcp Asset Management, Llc (registered 2026-01-07)Mar 9, 2026 · Advisor changed firm · fact
- Dale Edward Buckner left Dale Buckner, Inc. for Tcp Asset Management, Llc (registered 2026-01-07)Mar 9, 2026 · Advisor changed firm · fact
- 2 advisors left Dale Buckner, Inc. (Amarillo, TX) for Tcp Asset Management, LLC on the same dayMar 9, 2026 · Team lift-out · derived
- Dale Buckner, Inc. Dba Dale Buckner And Asset Planning Group filed its initial SEC registration (Form ADV)Mar 31, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026