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.

SEC-registered adviser

Spectrum Financial Alliance, Ltd., L.L.C.

Independent wealth managerNicholasville, KentuckyCRD 125147SEC 801-79371website IAPD

Latest filing Aug 10, 2026

First filing on the tape Dec 21, 2011 · 54 filings

SEC status approved since Mar 31, 2014

RAUM

$813M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$813M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$271M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

54 filings and snapshots on the tape

RAUM$813M as of Aug 10, 2026

Mar 27, 2012$71.5M then

HNW client RAUM$677M as of Aug 10, 2026

Mar 29, 2018$86.4M then

State-registered IARs (5.B.3)0 as of Aug 10, 2026

Mar 27, 20120 then

Employees (5.A)14 as of Aug 10, 2026

Mar 30, 20159 then

Private funds: no history

RAUM +132% over the last fiscal year+53% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Aug 10, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $271MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 225derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.4MderivedHNW RAUM over HNW clients
Average account: $395,435derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 4.7derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +89%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +27%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, publications, educational seminars, otherreportedItem 5.G
Ownership: controlled by a public reporting companyderived
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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
controlled by a public reporting company (10.A)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$677M83%
Individuals$136M17%

Individual clients: 387reported
HNW clients: 287reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 2,056reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Charles Kelly BuckleyCertified Financial Planner	Nicholasville, Ky	Apr 29, 1997	38 y	2
Camden MiracleCertified Financial Planner	Nicholasville, Ky	Jul 24, 2023	12 y	0
Christopher Brian Edney	Nicholasville, Ky	Sep 23, 2025	21 y	1

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months

Left, latest

Vincent Conrad Montgomery to Wells Fargo Advisors
Jan 27, 2025 · RIA to wirehouse
Eric Peter White to Foundations Investment Advisors LLC
Apr 1, 2024 · RIA to RIA
Jacob Karl Buckley to On Investment Management Co
May 3, 2022 · RIA to affiliated broker-dealer or bank
Dillon Bruce Harper to On Investment Management Co
Jan 5, 2021 · RIA to affiliated broker-dealer or bank
Michael Paul Reich to D. Scott Neal, Inc.
Nov 16, 2020 · RIA to RIA
Steven C Booth to Edward Jones
Jun 5, 2020 · RIA to affiliated broker-dealer or bank

Joined, latest

Vincent Conrad Montgomery from Fwg Investments, LLC
Jan 13, 2025 · RIA to RIA
Steven C Booth from Ameriprise Financial Services, LLC
Jul 25, 2019 · Affiliated broker-dealer or bank to independent RIA
Eric Peter White from Park Avenue Securities LLC
Oct 23, 2018 · Affiliated broker-dealer or bank to independent RIA
Charles Kelly Buckley from LPL Financial LLC
Apr 29, 1997 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Kelly Charles Buckley · Managing Member And Managing Director For Asset Management; Chief Compliance Officercontrol
since 01/2000 · owns 75% or more

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
Nicholasville, Ky · principal	3	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

HNW share shiftChange between filings · filing Apr 22, 2026
HNW share of RAUM moved from 61.0% to 79.0% between the annual amendments of 2025-03-28 and 2026-04-22
peers: independent wealth managers, $500M to $1B (1,483)
RAUM up 50 %Change between filings · filing Apr 22, 2026
RAUM (Item 5.F) moved from $350,797,534 to $662,877,871 (+89.0%) between the annual amendments of 2025-03-28 and 2026-04-22; the peer median change was +16.0% (1386 comparable advisers, 98.0th percentile of changes)
peers: independent wealth managers, $500M to $1B (1,386) · 98% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 2,066 to 2,056
Jun 23, 2026 to Aug 10, 2026
HNW clients · 282 to 287
Jun 23, 2026 to Aug 10, 2026
Individual clients · 365 to 387
Jun 23, 2026 to Aug 10, 2026
Employees · 13 to 14
Jun 23, 2026 to Aug 10, 2026
Discretionary RAUM · $801M to $813M
Jun 23, 2026 to Aug 10, 2026
HNW RAUM · $668M to $677M
Jun 23, 2026 to Aug 10, 2026
Individual RAUM · $133M to $136M
Jun 23, 2026 to Aug 10, 2026
RAUM · $801M to $813M
Jun 23, 2026 to Aug 10, 2026
Accounts · 1,439 to 2,066
May 28, 2026 to Jun 23, 2026
HNW clients · 259 to 282
May 28, 2026 to Jun 23, 2026
Individual clients · 372 to 365
May 28, 2026 to Jun 23, 2026
Discretionary RAUM · $728M to $801M
May 28, 2026 to Jun 23, 2026
HNW RAUM · $595M to $668M
May 28, 2026 to Jun 23, 2026
Individual RAUM · $133M to $133M
May 28, 2026 to Jun 23, 2026
RAUM · $728M to $801M
May 28, 2026 to Jun 23, 2026
Accounts · 2,003 to 1,439
Apr 22, 2026 to May 28, 2026
HNW clients · 240 to 259
Apr 22, 2026 to May 28, 2026
Individual clients · 390 to 372
Apr 22, 2026 to May 28, 2026
Discretionary RAUM · $663M to $728M
Apr 22, 2026 to May 28, 2026
HNW RAUM · $521M to $595M
Apr 22, 2026 to May 28, 2026
Individual RAUM · $142M to $133M
Apr 22, 2026 to May 28, 2026
RAUM · $663M to $728M
Apr 22, 2026 to May 28, 2026
Accounts · 1,812 to 2,003
Mar 31, 2026 to Apr 22, 2026
HNW clients · 233 to 240
Mar 31, 2026 to Apr 22, 2026
Individual clients · 371 to 390
Mar 31, 2026 to Apr 22, 2026
Discretionary RAUM · $654M to $663M
Mar 31, 2026 to Apr 22, 2026
HNW RAUM · $515M to $521M
Mar 31, 2026 to Apr 22, 2026
Individual RAUM · $138M to $142M
Mar 31, 2026 to Apr 22, 2026
RAUM · $654M to $663M
Mar 31, 2026 to Apr 22, 2026
Accounts · 1,581 to 1,812
Oct 28, 2025 to Mar 31, 2026
Advisory employees · 2 to 3
Oct 28, 2025 to Mar 31, 2026
HNW clients · 186 to 233
Oct 28, 2025 to Mar 31, 2026
Individual clients · 377 to 371
Oct 28, 2025 to Mar 31, 2026
Employees · 10 to 13
Oct 28, 2025 to Mar 31, 2026
Discretionary RAUM · $517M to $654M
Oct 28, 2025 to Mar 31, 2026
HNW RAUM · $246M to $515M
Oct 28, 2025 to Mar 31, 2026
Individual RAUM · $271M to $138M
Oct 28, 2025 to Mar 31, 2026
RAUM · $517M to $654M
Oct 28, 2025 to Mar 31, 2026
Accounts · 1,549 to 1,581
Aug 29, 2025 to Oct 28, 2025
HNW clients · 141 to 186
Aug 29, 2025 to Oct 28, 2025

Signals

5 dated events

Spectrum Financial Alliance, Ltd., L.L.C. reported RAUM $653.6M, up 26% from $516.9M (2025-10-28 to 2026-03-31)
Mar 31, 2026 · RAUM change · derived
Vincent Conrad Montgomery left Spectrum Financial Alliance, Ltd., L.L.C. for Wells Fargo Advisors (registered 2025-10-29)
Jan 27, 2025 · Advisor changed firm · fact
Eric Peter White left Spectrum Financial Alliance, Ltd., L.L.C. for Foundations Investment Advisors Llc (registered 2024-10-16)
Apr 1, 2024 · Advisor changed firm · fact
Jacob Karl Buckley left Spectrum Financial Alliance, Ltd., L.L.C. for On Investment Management Co (registered 2022-07-19)
May 3, 2022 · Advisor changed firm · fact
Spectrum Financial Alliance, Ltd., L.L.C. filed its initial SEC registration (Form ADV)
Mar 10, 2014 · 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.

How to reach

public business contact points only, each with its source

Business email: cjmiracle@spectrumalliance.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: dcalhoun@spectrumalliance.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: dhagan@spectrumalliance.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: jbruner@spectrumalliance.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: kbuckley@spectrumalliance.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: kmoffett@spectrumalliance.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: mmangold@spectrumalliance.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: mwurth@spectrumalliance.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: sfa@spectrumalliance.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: shaynes@spectrumalliance.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: rbuckman@spectrumalliance.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 800-799-5333reportedpublished by the firm, firm site, Sep 15, 2026

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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $271Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026