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

Buckley Investment Group, LLC

Former SEC-registered adviserWalla Walla, WashingtonCRD 128559SEC 801-78130IAPD
Latest filing Feb 27, 2023
First filing on the tape Mar 15, 2012 · 23 filings
RAUM
$94.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$77.4M 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
23 filings and snapshots on the tape
RAUM$94.5M as of Feb 27, 2023
Mar 15, 2012$74.3M then
HNW client RAUM$55.8M as of Feb 27, 2023
Mar 16, 2018$35.1M then
State-registered IARs (5.B.3)2 as of Feb 27, 2023
Mar 15, 20120 then
Employees (5.A)3 as of Feb 27, 2023
Jan 27, 20144 then
Private funds: no history
RAUM -18% over the last fiscal year-1.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 27, 2023; every figure names its basis
RAUM per advisor
$47.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
67derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$705,259derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
18%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
-18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+23%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$15.3M, 28 clientsreportedItem 9.A
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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$55.8M59%
  • Individuals$21.5M23%
  • Charitable organizations$17.1M18%
Individual clients
109reported
HNW clients
24reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
134reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$15.3M for 28 clientsreported
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
    • Timothy John Buckley · Managing Director/Chief Compliance Officercontrol
      since 09/2003 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Walla Walla, Wa · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 331 to 134
      Oct 31, 2022 to Feb 27, 2023
    • Charity clients · 4 to 1
      Oct 31, 2022 to Feb 27, 2023
    • Corporate clients · 3.0 to unset
      Oct 31, 2022 to Feb 27, 2023
    • HNW clients · 22 to 24
      Oct 31, 2022 to Feb 27, 2023
    • Individual clients · 86 to 109
      Oct 31, 2022 to Feb 27, 2023
    • Assets in custody · $5.5M to $15.3M
      Oct 31, 2022 to Feb 27, 2023
    • Discretionary RAUM · $115M to $94.5M
      Oct 31, 2022 to Feb 27, 2023
    • HNW RAUM · $53.5M to $55.8M
      Oct 31, 2022 to Feb 27, 2023
    • Individual RAUM · $17.7M to $21.5M
      Oct 31, 2022 to Feb 27, 2023
    • RAUM · $115M to $94.5M
      Oct 31, 2022 to Feb 27, 2023
    • Accounts · 292 to 331
      Jul 21, 2021 to Mar 3, 2022
    • Charity clients · 5 to 4
      Jul 21, 2021 to Mar 3, 2022
    • Corporate clients · unset to 3.0
      Jul 21, 2021 to Mar 3, 2022
    • Individual clients · 75 to 86
      Jul 21, 2021 to Mar 3, 2022
    • Assets in custody · $15.7M to $5.5M
      Jul 21, 2021 to Mar 3, 2022
    • Discretionary RAUM · $114M to $115M
      Jul 21, 2021 to Mar 3, 2022
    • HNW RAUM · $64.2M to $53.5M
      Jul 21, 2021 to Mar 3, 2022
    • Individual RAUM · $17.4M to $17.7M
      Jul 21, 2021 to Mar 3, 2022
    • RAUM · $114M to $115M
      Jul 21, 2021 to Mar 3, 2022
    • Employees · 4 to 3
      Mar 10, 2021 to Jul 21, 2021
    • State-registered IARs · 3 to 2
      Mar 10, 2021 to Jul 21, 2021
    • Accounts · 242 to 292
      Sep 14, 2020 to Mar 10, 2021
    • Advisory employees · 3 to 2
      Sep 14, 2020 to Mar 10, 2021
    • HNW clients · 20 to 22
      Sep 14, 2020 to Mar 10, 2021
    • Individual clients · 61 to 75
      Sep 14, 2020 to Mar 10, 2021
    • Assets in custody · $3.6M to $15.7M
      Sep 14, 2020 to Mar 10, 2021
    • Discretionary RAUM · $98.0M to $114M
      Sep 14, 2020 to Mar 10, 2021
    • HNW RAUM · $58.5M to $64.2M
      Sep 14, 2020 to Mar 10, 2021
    • Individual RAUM · $12.6M to $17.4M
      Sep 14, 2020 to Mar 10, 2021
    • RAUM · $98.0M to $114M
      Sep 14, 2020 to Mar 10, 2021
    • Accounts · 276 to 242
      Oct 18, 2019 to Mar 31, 2020
    • Advisory employees · 2 to 3
      Oct 18, 2019 to Mar 31, 2020
    • Charity clients · unset to 5.0
      Oct 18, 2019 to Mar 31, 2020
    • Corporate clients · 1.0 to unset
      Oct 18, 2019 to Mar 31, 2020
    • HNW clients · 17 to 20
      Oct 18, 2019 to Mar 31, 2020
    • Individual clients · 59 to 61
      Oct 18, 2019 to Mar 31, 2020
    • Pension plan clients · 9.0 to unset
      Oct 18, 2019 to Mar 31, 2020
    • Assets in custody · $21.1M to $3.6M
      Oct 18, 2019 to Mar 31, 2020
    • State-registered IARs · 2 to 3
      Oct 18, 2019 to Mar 31, 2020
    • Discretionary RAUM · $116M to $98.0M
      Oct 18, 2019 to Mar 31, 2020
    Signals
    5 dated events
    • Shannon Michelle Block Ebding left Buckley Investment Group, Llc for Cwm, Llc (registered 2023-09-12)
      Dec 11, 2023 · Advisor changed firm · fact
    • John Timothy Buckley left Buckley Investment Group, Llc for Cwm, Llc (registered 2023-09-12)
      Dec 11, 2023 · Advisor changed firm · fact
    • 2 advisors left Buckley Investment Group, LLC (Walla Walla, WA) for Cwm, LLC on the same day
      Dec 11, 2023 · Team lift-out · derived
    • Sue Melissa Buckley (Office Mgr/Investment Advisor Representative) no longer on Schedule A of Buckley Investment Group, Llc (listed 2021-03-10, absent 2021-07-21)
      Jul 21, 2021 · Control person left · inference
    • Buckley Investment Group, Llc filed its initial SEC registration (Form ADV)
      May 23, 2013 · 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