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 Capital Management, Inc.

Former SEC-registered adviserDayton, OhioCRD 117984SEC 801-61296websiteIAPD
Latest filing Apr 11, 2024
First filing on the tape Mar 23, 2012 · 17 filings
SEC status approved since Jul 18, 2002
RAUM
$911M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
99%
$902M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
14 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$911M as of Mar 26, 2024
Mar 23, 2012$258M then
HNW client RAUM$586M as of Mar 26, 2024
Mar 29, 2018$259M then
State-registered IARs (5.B.3)14 as of Mar 26, 2024
Mar 27, 20138 then
Employees (5.A)14 as of Mar 26, 2024
Mar 27, 201316 then
Private funds: no history
RAUM +23% over the last fiscal year+11% a year over threeIARs 16 to 14
Practice profile
derived from the filing of Apr 11, 2024; every figure names its basis
RAUM per advisor
$65.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
91derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$285,578derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months
1derivedhalf or more of a firm's advisors moved here within 14 days
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)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$586M64%
  • Individuals$315M35%
  • Charitable organizations$8.7M1.0%
  • Corporations and businesses$578,5570.1%
Individual clients
1,058reported
HNW clients
221reported
Pension plan clients
n/areported
Charitable clients
5reported
Accounts
3,190reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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, Inc (B&C) · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list Buckingham Capital Management, 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
  • Westerville, OH3 employees
  • Wilmington, OH2 employees
  • Lebanon, OH1 employees
What changed
consecutive filings, newest first
  • Accounts · 3,047 to 3,190
    Mar 17, 2023 to Mar 26, 2024
  • Advisory employees · 16 to 14
    Mar 17, 2023 to Mar 26, 2024
  • HNW clients · 193 to 221
    Mar 17, 2023 to Mar 26, 2024
  • Individual clients · 1,033 to 1,058
    Mar 17, 2023 to Mar 26, 2024
  • Employees · 16 to 14
    Mar 17, 2023 to Mar 26, 2024
  • State-registered IARs · 16 to 14
    Mar 17, 2023 to Mar 26, 2024
  • Discretionary RAUM · $708M to $850M
    Mar 17, 2023 to Mar 26, 2024
  • HNW RAUM · $447M to $586M
    Mar 17, 2023 to Mar 26, 2024
  • Individual RAUM · $287M to $315M
    Mar 17, 2023 to Mar 26, 2024
  • Non-discretionary RAUM · $34.4M to $60.7M
    Mar 17, 2023 to Mar 26, 2024
  • RAUM · $742M to $911M
    Mar 17, 2023 to Mar 26, 2024
  • Accounts · 2,953 to 3,047
    Mar 31, 2022 to Mar 17, 2023
  • Charity clients · 2 to 5
    Mar 31, 2022 to Mar 17, 2023
  • Corporate clients · 1 to 2
    Mar 31, 2022 to Mar 17, 2023
  • HNW clients · 143 to 193
    Mar 31, 2022 to Mar 17, 2023
  • Discretionary RAUM · $751M to $708M
    Mar 31, 2022 to Mar 17, 2023
  • HNW RAUM · $412M to $447M
    Mar 31, 2022 to Mar 17, 2023
  • Individual RAUM · $369M to $287M
    Mar 31, 2022 to Mar 17, 2023
  • Non-discretionary RAUM · $34.7M to $34.4M
    Mar 31, 2022 to Mar 17, 2023
  • RAUM · $786M to $742M
    Mar 31, 2022 to Mar 17, 2023
  • Accounts · 2,752 to 2,953
    Mar 29, 2021 to Mar 31, 2022
  • Advisory employees · 18 to 16
    Mar 29, 2021 to Mar 31, 2022
  • Charity clients · 3 to 2
    Mar 29, 2021 to Mar 31, 2022
  • Corporate clients · 2 to 1
    Mar 29, 2021 to Mar 31, 2022
  • HNW clients · 147 to 143
    Mar 29, 2021 to Mar 31, 2022
  • Individual clients · 950 to 1,033
    Mar 29, 2021 to Mar 31, 2022
  • Employees · 18 to 16
    Mar 29, 2021 to Mar 31, 2022
  • State-registered IARs · 18 to 16
    Mar 29, 2021 to Mar 31, 2022
  • Discretionary RAUM · $632M to $751M
    Mar 29, 2021 to Mar 31, 2022
  • HNW RAUM · $357M to $412M
    Mar 29, 2021 to Mar 31, 2022
  • Individual RAUM · $300M to $369M
    Mar 29, 2021 to Mar 31, 2022
  • Non-discretionary RAUM · $29.6M to $34.7M
    Mar 29, 2021 to Mar 31, 2022
  • RAUM · $662M to $786M
    Mar 29, 2021 to Mar 31, 2022
  • Accounts · 3,381 to 2,752
    Jun 26, 2020 to Mar 29, 2021
  • Advisory employees · 19 to 18
    Jun 26, 2020 to Mar 29, 2021
  • HNW clients · 155 to 147
    Jun 26, 2020 to Mar 29, 2021
  • Individual clients · 1,289 to 950
    Jun 26, 2020 to Mar 29, 2021
  • Employees · 19 to 18
    Jun 26, 2020 to Mar 29, 2021
  • Discretionary RAUM · $636M to $632M
    Jun 26, 2020 to Mar 29, 2021
  • HNW RAUM · $319M to $357M
    Jun 26, 2020 to Mar 29, 2021
Signals
21 dated events
  • Buckingham Capital Management, Inc. no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $911.0M)
    May 2, 2025 · Left the SEC roster · derived
  • Marla Rae Chambers left Buckingham Capital Management, Inc. for Waverly Advisors, Llc (registered 2024-11-13)
    Mar 17, 2025 · Advisor changed firm · fact
  • Allen Zachariah Thuma left Buckingham Capital Management, Inc. for Waverly Advisors, Llc (registered 2024-11-08)
    Mar 17, 2025 · Advisor changed firm · fact
  • Jeff Harold Groezinger left Buckingham Capital Management, Inc. for Waverly Advisors, Llc (registered 2024-11-13)
    Mar 17, 2025 · Advisor changed firm · fact
  • Emily M Cozad left Buckingham Capital Management, Inc. for Waverly Advisors, Llc (registered 2024-11-13)
    Mar 17, 2025 · Advisor changed firm · fact
  • Janet Carol Steinke left Buckingham Capital Management, Inc. for Buckingham Financial Group, Inc. (registered 2016-03-23)
    Mar 17, 2025 · Advisor changed firm · fact
  • Gerald Valentine Krach left Buckingham Capital Management, Inc. for Waverly Advisors, Llc (registered 2024-11-08)
    Mar 17, 2025 · Advisor changed firm · fact
  • Jay Allen Buckingham left Buckingham Capital Management, Inc. for Waverly Advisors, Llc (registered 2024-11-13)
    Mar 17, 2025 · Advisor changed firm · fact
  • James Alan Brown left Buckingham Capital Management, Inc. for Waverly Advisors, Llc (registered 2024-11-13)
    Mar 17, 2025 · Advisor changed firm · fact
  • Lance C Steiner left Buckingham Capital Management, Inc. for Waverly Advisors, Llc (registered 2024-11-08)
    Mar 17, 2025 · Advisor changed firm · fact
  • Bradley Paul Griffith left Buckingham Capital Management, Inc. for Waverly Advisors, Llc (registered 2024-11-13)
    Mar 17, 2025 · Advisor changed firm · fact
  • Christina N Israel left Buckingham Capital Management, Inc. for Buckingham Financial Group, Inc. (registered 2022-04-23)
    Mar 17, 2025 · Advisor changed firm · fact
  • Melissa Lynn Mueller left Buckingham Capital Management, Inc. for Waverly Advisors, Llc (registered 2024-11-08)
    Mar 17, 2025 · Advisor changed firm · fact
  • Nicole Theisen Strbich left Buckingham Capital Management, Inc. for Waverly Advisors, Llc (registered 2024-11-08)
    Mar 17, 2025 · Advisor changed firm · fact
  • Ryan Patrick Johnson left Buckingham Capital Management, Inc. for Waverly Advisors, Llc (registered 2024-11-12)
    Mar 17, 2025 · Advisor changed firm · fact
  • Tracy E Travis left Buckingham Capital Management, Inc. for Waverly Advisors, Llc (registered 2024-11-08)
    Mar 17, 2025 · Advisor changed firm · fact
  • 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
  • Mitchell Thomas Bodenmiller left Buckingham Capital Management, Inc. for Waverly Advisors, Llc (registered 2024-11-26)
    Mar 14, 2025 · Advisor changed firm · fact
  • Buckingham Capital Management, Inc.'s advisors moved to Waverly Advisors, LLC (Dayton, OH): 14 of 16 registered, within 3 days
    Mar 14, 2025 · Firm absorbed (people side) · derived
  • 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
  • Brad Thomas Gregory left Buckingham Capital Management, Inc. for G2 Capital Management, Llc (registered 2022-07-22)
    Jun 10, 2022 · Advisor changed firm · 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