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

Buckingham Financial Group, Inc.

Former SEC-registered adviserDayton, OhioCRD 117982SEC 801-61297websiteIAPD
Latest filing Apr 11, 2024
First filing on the tape Mar 23, 2012 · 16 filings
SEC status approved since Jul 18, 2002
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
10 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Mar 26, 2024
Mar 27, 20136 then
Employees (5.A)13 as of Mar 26, 2024
Mar 27, 201315 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 10 to 10
Practice profile
derived from the filing of Apr 11, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
2.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, 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
  • buys or sells securities as principal to or from clients (8.A.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Allen Jay Buckingham · Chief Compliance Officer, Buckingham & Company Shareholdercontrol
    since 08/1987 · owns 50% to 75%
  • Harold Jeff Groezinger · Buckingham & Company Shareholdercontrol
    since 01/2017 · owns 5% to 10%
  • Suzanne Linda Parenti · Buckingham & Company Shareholdercontrol
    since 01/2017 · owns less than 5%
Entity owners
  • Buckingham & Company · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list Buckingham Financial Group, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Dayton, Oh · principal000
Offices
Schedule D 1.F, the 25 largest
  • Wilmington, OH2 employees
  • Lebanon, OH1 employees
  • Westerville, OH1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 9 to 10
    Mar 31, 2022 to Mar 17, 2023
  • Employees · 16 to 13
    Mar 31, 2022 to Mar 17, 2023
  • State-registered IARs · 9 to 10
    Mar 31, 2022 to Mar 17, 2023
  • Employees · 12 to 16
    Mar 29, 2021 to Mar 31, 2022
  • Advisory employees · 12 to 9
    Mar 28, 2019 to Mar 23, 2020
  • BD registered reps · 1 to 0
    Mar 28, 2019 to Mar 23, 2020
  • Employees · 14 to 12
    Mar 28, 2019 to Mar 23, 2020
  • State-registered IARs · 12 to 9
    Mar 28, 2019 to Mar 23, 2020
  • Other offices · 4 to 3
    Mar 28, 2019 to Mar 23, 2020
  • Advisory employees · 13 to 12
    Mar 29, 2018 to Mar 28, 2019
  • Employees · 13 to 14
    Mar 29, 2018 to Mar 28, 2019
  • State-registered IARs · 13 to 12
    Mar 29, 2018 to Mar 28, 2019
  • BD registered reps · 0 to 1
    Mar 30, 2017 to Mar 29, 2018
  • Employees · 16 to 13
    Mar 30, 2017 to Mar 29, 2018
  • State-registered IARs · 9 to 13
    Mar 30, 2017 to Mar 29, 2018
  • Other offices · unset to 4.0
    Mar 30, 2017 to Mar 29, 2018
  • Advisory employees · 10 to 13
    Mar 28, 2016 to Mar 30, 2017
  • Employees · 13 to 16
    Mar 28, 2016 to Mar 30, 2017
  • Financial planning clients · 26-50 to 251-500
    Mar 28, 2016 to Mar 30, 2017
  • State-registered IARs · 7 to 9
    Mar 28, 2016 to Mar 30, 2017
  • Advisory employees · 9 to 10
    Mar 25, 2015 to Mar 28, 2016
  • Employees · 12 to 13
    Mar 25, 2015 to Mar 28, 2016
  • State-registered IARs · 3 to 7
    Mar 25, 2015 to Mar 28, 2016
  • Advisory employees · 10 to 9
    Mar 26, 2014 to Mar 25, 2015
  • Employees · 15 to 12
    Mar 26, 2014 to Mar 25, 2015
  • Financial planning clients · 11-25 to 26-50
    Mar 26, 2014 to Mar 25, 2015
  • State-registered IARs · 6 to 3
    Mar 27, 2013 to Mar 26, 2014
  • Advisory employees · unset to 10.0
    Oct 5, 2012 to Mar 27, 2013
  • Advisory activities · 3 to 2
    Oct 5, 2012 to Mar 27, 2013
  • BD registered reps · unset to 0.0
    Oct 5, 2012 to Mar 27, 2013
  • Employees · unset to 15.0
    Oct 5, 2012 to Mar 27, 2013
  • State-registered IARs · unset to 6.0
    Oct 5, 2012 to Mar 27, 2013
Signals
17 dated events
  • Buckingham Financial Group, Inc. no longer on the SEC adviser roster (last listed 2025-03-06)
    May 2, 2025 · Left the SEC roster · derived
  • 2 advisors left Buckingham Capital Management, Inc. (Dayton, OH) for Buckingham Financial Group, Inc. on the same day
    Mar 17, 2025 · Team lift-out · derived
  • Christina Lynn Derham left Buckingham Financial Group, Inc. for Waverly Advisors, Llc (registered 2025-01-14)
    Mar 6, 2025 · Advisor changed firm · fact
  • Marla Rae Chambers left Buckingham Financial Group, Inc. for Buckingham Capital Management, Inc. (registered 2015-10-19)
    Mar 6, 2025 · Advisor changed firm · fact
  • Sydney B Burchett left Buckingham Financial Group, Inc. for Waverly Advisors, Llc (registered 2024-11-13)
    Mar 6, 2025 · Advisor changed firm · fact
  • Emily M Cozad left Buckingham Financial Group, Inc. for Buckingham Capital Management, Inc. (registered 2021-05-06)
    Mar 6, 2025 · Advisor changed firm · fact
  • Michael O Hays left Buckingham Financial Group, Inc. for Waverly Advisors, Llc (registered 2025-07-23)
    Mar 6, 2025 · Advisor changed firm · fact
  • Janet Carol Steinke left Buckingham Financial Group, Inc. for Waverly Advisors, Llc (registered 2024-11-08)
    Mar 6, 2025 · Advisor changed firm · fact
  • Jay Allen Buckingham left Buckingham Financial Group, Inc. for Buckingham Capital Management, Inc. (registered 1999-10-18)
    Mar 6, 2025 · Advisor changed firm · fact
  • Lance C Steiner left Buckingham Financial Group, Inc. for Buckingham Capital Management, Inc. (registered 2018-08-15)
    Mar 6, 2025 · Advisor changed firm · fact
  • Bradley Paul Griffith left Buckingham Financial Group, Inc. for Buckingham Capital Management, Inc. (registered 2018-09-14)
    Mar 6, 2025 · Advisor changed firm · fact
  • Christina N Israel left Buckingham Financial Group, Inc. for Waverly Advisors, Llc (registered 2024-11-12)
    Mar 6, 2025 · Advisor changed firm · fact
  • Melissa Lynn Mueller left Buckingham Financial Group, Inc. for Buckingham Capital Management, Inc. (registered 2022-09-01)
    Mar 6, 2025 · Advisor changed firm · fact
  • Nicole Theisen Strbich left Buckingham Financial Group, Inc. for Buckingham Capital Management, Inc. (registered 2018-03-29)
    Mar 6, 2025 · Advisor changed firm · fact
  • Tracy E Travis left Buckingham Financial Group, Inc. for Buckingham Capital Management, Inc. (registered 2022-03-08)
    Mar 6, 2025 · Advisor changed firm · fact
  • Buckingham Financial Group, Inc.'s advisors moved to Buckingham Capital Management, Inc. (Dayton, OH): 8 of 13 registered, on the same day
    Mar 6, 2025 · Firm absorbed (people side) · derived
  • 5 advisors left Buckingham Financial Group, Inc. (Dayton, OH) for Waverly Advisors, LLC on the same day
    Mar 6, 2025 · Team lift-out · derived
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