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 Strategic Wealth, LLC

Former SEC-registered adviserSt Louis, MissouriCRD 143323SEC 801-67640IAPD

Latest filing Aug 9, 2024

First filing on the tape Mar 30, 2012 · 74 filings

RAUM

$30B

reported, Item 5.F

Discretionary

95%

of RAUM

Private clients

93%

$28B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

645

312 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

74 filings and snapshots on the tape

RAUM$27B as of Mar 20, 2024

Mar 30, 2012$2.8B then

HNW client RAUM$22B as of Mar 20, 2024

Mar 23, 2018$9.5B then

State-registered IARs (5.B.3)320 as of Mar 20, 2024

Mar 26, 201360 then

Employees (5.A)645 as of Mar 20, 2024

Mar 26, 2013140 then

Private funds: no history

RAUM +34% over the last fiscal year+16% a year over threeIARs 270 to 320offices 48 to 55

Practice profile

derived from the filing of Aug 9, 2024; every figure names its basis

RAUM per advisor: $92.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 45derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.7MderivedHNW RAUM over HNW clients
Average account: $570,242derivedRAUM over accounts (5.F.2.f)
Discretionary: 95%derivedof RAUM
Institutional: 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 5.7derived56 offices incl. principal (1.F.5)
RAUM growth, one year: +22%derivedbetween the last two annual amendments
Advisor growth, one year: +19%derivedItem 5.B.3 between annual amendments
Client growth, one year: +13%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody: $16B, 9,356 clientsreportedItem 9.A
Ownership: a PE fund or sponsor is a 25 percent or greater owner 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)
controlled by a public reporting company (10.A)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$25B84%
Individuals$2.7B9.0%
Charitable organizations$899M3.0%
Pension and profit-sharing plans$542M1.8%
Corporations and businesses$536M1.8%

Individual clients: 7,442reported
HNW clients: 6,798reported
Pension plan clients: 186reported
Charitable clients: 63reported
Accounts: 51,749reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: $16B for 9,356 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

Benjamin Lee Lanning to Focus Advisor Solutions, LLC
Nov 14, 2024 · Other
Kristen Renee Donovan to Focus Advisor Solutions, LLC
Nov 14, 2024 · RIA to RIA
Jerrold A Grecu to Focus Partners Wealth, LLC
Aug 29, 2024 · RIA to RIA
Benjamin Michael Thiele to Focus Partners Wealth, LLC
Aug 16, 2024 · RIA to RIA
Constanza Jelambi Illanes to Stifel, Nicolaus & Company, Incorporated
Jul 11, 2024 · RIA to affiliated broker-dealer or bank
Jose M Camarena to Focus Advisor Solutions, LLC
Jul 1, 2024 · RIA to RIA
Daniel Wain Campbell to Waypoint Wealth Partners
Jul 1, 2024 · RIA to RIA
Andrew Elton Fenton to Focus Advisor Solutions, LLC
Jul 1, 2024 · RIA to RIA
Jeffery Alan Yorg to Focus Advisor Solutions, LLC
Jul 1, 2024 · RIA to RIA
Ryan Fedder to Focus Advisor Solutions, LLC
Jul 1, 2024 · RIA to RIA
Leanne Jeannette Geer to Focus Advisor Solutions, LLC
Jul 1, 2024 · RIA to RIA
Xuyi Chen to Focus Advisor Solutions, LLC
Jul 1, 2024 · RIA to RIA
Justin Case Cox to Focus Advisor Solutions, LLC
Jul 1, 2024 · RIA to RIA
Mark John Pitcher to Focus Advisor Solutions, LLC
Jun 28, 2024 · Other
Blerina Hysi to Focus Advisor Solutions, LLC
Jun 28, 2024 · Other

Joined, latest

Robert Eric Bertman from Eidelman Virant Capital
Jun 5, 2024 · Other
Logan Dean Reno from Moneta Group Investment Advisors, LLC
May 22, 2024 · RIA to RIA
Zachary Lepore from Florida Financial Advisors, LLC
May 6, 2024 · Affiliated broker-dealer or bank to independent RIA
Gregory C Finke from Charles Schwab & Co., Inc.
Apr 26, 2024 · Affiliated broker-dealer or bank to independent RIA
Keith Christopher Rybak from Wasserman Wealth Management, LLC
Mar 27, 2024 · RIA to RIA
Bradley Alan Wasserman from Wasserman Wealth Management, LLC
Mar 27, 2024 · RIA to RIA
Bradford C Newsome from Wasserman Wealth Management, LLC
Mar 27, 2024 · RIA to RIA
Thompson Danforth Hollo from Medicine Bow Capital
Mar 13, 2024 · Other
Otoniel Francisco Maxwell from Mariner
Mar 7, 2024 · Affiliated broker-dealer or bank to independent RIA
Alfredo Miguel Mesa from Mesa Financial Group, LLC
Feb 27, 2024 · Other
Keith Allen Barr from Life Plan Financial Advisory Group, LLC
Dec 13, 2023 · RIA to RIA
Jeffrey Patrick Palleschi from Life Plan Financial Advisory Group, LLC
Dec 13, 2023 · RIA to RIA
Catherine S. Gearig from Life Plan Financial Advisory Group, LLC
Dec 13, 2023 · RIA to RIA
Kevin Robert Tremor from Briggs Advisory Group, Inc.
Dec 7, 2023 · RIA to RIA
Dawn Ellen Filliatreault Wood from Briggs Advisory Group, Inc.
Dec 6, 2023 · RIA to RIA

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for Focus Advisor Solutions, LLC
Nov 14, 2024 · St Louis, Mo
12 left for Focus Advisor Solutions, LLC
Jun 28, 2024 · St Louis, Mo

3 joined from Focus Advisor Solutions, LLC
Jun 26, 2024 · St Louis, Mo
3 joined from Wasserman Wealth Management, LLC
Mar 27, 2024 · Farmington Hills, Mi · Firm absorbed
3 joined from Life Plan Financial Advisory Group, LLC
Dec 13, 2023 · Rochester Hills, Mi · Firm absorbed
4 joined from Briggs Advisory Group, Inc.
Dec 6, 2023 · Lincoln, Ri · Firm absorbed
2 joined from Madison Wealth Advisors, LLC
Jul 28, 2023 · Lees Summit, Mo
2 joined from Hausman Advisors, LLC
May 31, 2023 · Hood River, Or
2 joined from Davis Financial Planning
May 5, 2023 · Asheville, Nc
2 joined from Convergent Financial Strategies LLC
Feb 24, 2023 · Plymouth Meeting, Pa

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Mark Daniel Anderson · Member Of Board Of Directors Of Bam Management LLC, Chief Financial Officercontrol
since 01/2014 · owns less than 5%
Lawrence Adam Birenbaum · Chairman Of Board Of Directors Of Bam Management LLC, Chairman And Chief Executive Officercontrol
since 01/2009 · owns less than 5%
Christopher Justin Ferri · Member Of Board Of Directors Of Bam Management LLC, President And Chief Operating Officercontrol
since 05/2019 · owns less than 5%
Andrew Kevin Grogan · Chief Investment Officercontrol
since 01/2023 · owns less than 5%
Louise Wendy Hartman · Member Of Board Of Directors Of Bam Management LLC, President- Buckingham Strategic Wealthcontrol
since 05/2019 · owns less than 5%
John Salvatore Papa · Member Of Board Of Directors Of Bam Management LLC, General Counsel And Chief Compliance Officercontrol
since 06/2016 · owns less than 5%
Scott Jeffrey Remming · Member Of Board Of Directors Of Bam Management LLC, Chief Platform Officercontrol
since 01/2011 · owns less than 5%
Joseph Jonathan Scheid · Member Of Board Of Directors Of Bam Management LLC, President- Buckingham Strategic Partnerscontrol
since 10/2023 · owns less than 5%
Anthony Robert Ziliak · Member Of Board Of Directors Of Bam Management LLC, Chief Solutions Officercontrol
since 10/2021 · owns less than 5%

Entity owners

Focus Operating, LLC · Member (Manager)
direct · owns 75% or more
Cd&R Ferdinand Co-Investor, L.P. · Partner
indirect · owns 25% to 50% of Cd&R Ferdinand Holdings, L.P.
Cd&R Ferdinand Holdings, L.P. · Partner
indirect · owns 50% to 75% of Ferdinand Ffp Ultimate Holdings, LP
Clayton, Dubilier & Rice Fund Xii, L.P. · Partner
indirect · owns 50% to 75% of Cd&R Ferdinand Holdings, L.P.
Ferdinand Ffp Acquisition, LLC · Shareholder, Class A Common Stock
indirect · owns 75% or more of Focus Financial Partners Inc.
Ferdinand Ffp Intermediate Holdings, LLC · Member
indirect · owns 75% or more of Ferdinand Ffp Acquisition, LLC
Ferdinand Ffp Parent, Inc. · Member
indirect · owns 75% or more of Ferdinand Ffp Intermediate Holdings, LLC
Ferdinand Ffp Ultimate Holdings, LP · Shareholder
indirect · owns 75% or more of Ferdinand Ffp Parent, Inc.
Ferdinand Ffp Ultimate Holdings, LP · Shareholder, Class B Common Stock
indirect · owns 75% or more of Focus Financial Partners Inc.
Focus Financial Partners Inc. · Member
indirect · owns 75% or more of Focus Financial Partners, LLC
Focus Financial Partners, LLC · Member
indirect · owns 75% or more of Focus Operating, LLC

Related persons

Schedule D 7.A

Brad Wasserman
insurancey
Focus Advisor Solutions, LLC
investment advisernRAUM $41B
Jay Paul Wirig
insurancey
Jay Weldon Wirig
insurancey
Keith Rybak
insurancey
Roger Millbrook
insurancey
Roger Millbrook
y
Stephen Louis Hicks
y
Stephen Louis Hicks
insurancey
Focus Partners Wealth, LLC
investment advisernRAUM $182B

Advisers that list Buckingham Strategic Wealth, LLC as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Colorado Springs, Co	0	0	0
Concord, Ca	0	0	0
Dallas, Tx	0	0	0
Lincoln, Ne	0	0	0
Portland, Or	0	0	0
St Louis, Mo · principal	0	0	0
Bend, Or	0	0	0

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 15 since 2015, 0 in 24 monthsderived
Advisors acquired: 57derived
Still registered after 90 days: 98% of 57derived
After 180 days: 98% of 57derived
After 365 days: 81% of 57derived
After 730 days: 67% of 57derived
Team lift-outs after: 8derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices

Schedule D 1.F, the 25 largest

Southlake, TX8 employees
Morgan Hill, CA7 employees
Indianapolis, IN7 employees
Atlanta, GA7 employees
Deerfield, IL6 employees
Portland, OR6 employees
Ridgeland, MS6 employees
Lincoln, NE6 employees
Fresno, CA6 employees
Denver, CO6 employees
Lincoln, RI5 employees
Middleburg, VA5 employees
Plano, TX5 employees
Wyomissing, PA5 employees
Santa Rosa, CA5 employees
Fairfax, VA5 employees
Colorado Springs, CO4 employees
Charleston, WV4 employees
Asheville, NC4 employees
Grand Ledge, MI4 employees
Houston, TX4 employees
Williamston, MI4 employees
Walnut Creek, CA4 employees
Hood River, OR3 employees
Bourbonnais, IL3 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

high post acquisition advisor attritionCombination · filing Sep 17, 2026
81.0% of 57 advisors acquired in 15 absorbed firms were still registered here a year later; the median acquirer keeps 90.0% and the bottom decile 82.0%. A lower bound: industry exits and re-registration to an affiliated CRD count as departures
peers: ACQUIRERS_30_PLUS_MEASURED (40)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 50,014 to 51,749
May 2, 2024 to Aug 9, 2024
Charity clients · 65 to 63
May 2, 2024 to Aug 9, 2024
Corporate clients · 133 to 138
May 2, 2024 to Aug 9, 2024
HNW clients · 6,062 to 6,798
May 2, 2024 to Aug 9, 2024
Individual clients · 7,983 to 7,442
May 2, 2024 to Aug 9, 2024
Pension plan clients · 183 to 186
May 2, 2024 to Aug 9, 2024
Assets in custody · $12B to $16B
May 2, 2024 to Aug 9, 2024
Discretionary RAUM · $27B to $28B
May 2, 2024 to Aug 9, 2024
HNW RAUM · $23B to $25B
May 2, 2024 to Aug 9, 2024
Individual RAUM · $3.7B to $2.7B
May 2, 2024 to Aug 9, 2024
Non-discretionary RAUM · $1.6B to $1.6B
May 2, 2024 to Aug 9, 2024
Pension RAUM · $539M to $542M
May 2, 2024 to Aug 9, 2024
RAUM · $29B to $30B
May 2, 2024 to Aug 9, 2024
Accounts · 48,507 to 50,014
Mar 20, 2024 to May 2, 2024
Corporate clients · 123 to 133
Mar 20, 2024 to May 2, 2024
HNW clients · 5,944 to 6,062
Mar 20, 2024 to May 2, 2024
Individual clients · 7,698 to 7,983
Mar 20, 2024 to May 2, 2024
Pension plan clients · 179 to 183
Mar 20, 2024 to May 2, 2024
Discretionary RAUM · $25B to $27B
Mar 20, 2024 to May 2, 2024
HNW RAUM · $22B to $23B
Mar 20, 2024 to May 2, 2024
Individual RAUM · $3.4B to $3.7B
Mar 20, 2024 to May 2, 2024
Non-discretionary RAUM · $1.6B to $1.6B
Mar 20, 2024 to May 2, 2024
Pension RAUM · $451M to $539M
Mar 20, 2024 to May 2, 2024
RAUM · $27B to $29B
Mar 20, 2024 to May 2, 2024
Accounts · 46,117 to 48,507
Dec 19, 2023 to Mar 20, 2024
Advisory employees · 258 to 312
Dec 19, 2023 to Mar 20, 2024
BD registered reps · 16 to 15
Dec 19, 2023 to Mar 20, 2024
Charity clients · 64 to 65
Dec 19, 2023 to Mar 20, 2024
Corporate clients · 118 to 123
Dec 19, 2023 to Mar 20, 2024
HNW clients · 5,797 to 5,944
Dec 19, 2023 to Mar 20, 2024
Individual clients · 7,077 to 7,698
Dec 19, 2023 to Mar 20, 2024
Pension plan clients · 166 to 179
Dec 19, 2023 to Mar 20, 2024
Assets in custody · $7.6B to $12B
Dec 19, 2023 to Mar 20, 2024
Employees · 584 to 645
Dec 19, 2023 to Mar 20, 2024
Insurance-licensed employees · 43 to 46
Dec 19, 2023 to Mar 20, 2024
State-registered IARs · 270 to 320
Dec 19, 2023 to Mar 20, 2024
Other offices · 48 to 55
Dec 19, 2023 to Mar 20, 2024
Discretionary RAUM · $23B to $25B
Dec 19, 2023 to Mar 20, 2024
HNW RAUM · $20B to $22B
Dec 19, 2023 to Mar 20, 2024
Individual RAUM · $2.8B to $3.4B
Dec 19, 2023 to Mar 20, 2024

Signals

60 dated events

Kristen Renee Donovan left Buckingham Strategic Wealth, Llc for Focus Advisor Solutions, Llc (registered 2021-12-17)
Nov 14, 2024 · Advisor changed firm · fact
2 advisors left Buckingham Strategic Wealth, LLC (ST Louis, MO) for Focus Advisor Solutions, LLC on the same day
Nov 14, 2024 · Team lift-out · derived
Benjamin Lee Lanning left Buckingham Strategic Wealth, Llc for Focus Advisor Solutions, Llc (registered 2014-07-11)
Nov 14, 2024 · Advisor changed firm · fact
Jerrold A Grecu left Buckingham Strategic Wealth, Llc for Focus Partners Wealth, Llc (registered 2024-08-29)
Aug 29, 2024 · Advisor changed firm · fact
Benjamin Michael Thiele left Buckingham Strategic Wealth, Llc for Focus Partners Wealth, Llc (registered 2024-07-01)
Aug 16, 2024 · Advisor changed firm · fact
Constanza Jelambi Illanes left Buckingham Strategic Wealth, Llc for Stifel, Nicolaus & Company, Incorporated (registered 2024-07-08)
Jul 11, 2024 · Advisor changed firm · fact
Jose M Camarena left Buckingham Strategic Wealth, Llc for Focus Advisor Solutions, Llc (registered 2024-04-11)
Jul 1, 2024 · Advisor changed firm · fact
Justin Case Cox left Buckingham Strategic Wealth, Llc for Focus Advisor Solutions, Llc (registered 2023-03-13)
Jul 1, 2024 · Advisor changed firm · fact
Daniel Wain Campbell left Buckingham Strategic Wealth, Llc for Waypoint Wealth Partners (registered 2024-08-15)
Jul 1, 2024 · Advisor changed firm · fact
Xuyi Chen left Buckingham Strategic Wealth, Llc for Focus Advisor Solutions, Llc (registered 2023-02-27)
Jul 1, 2024 · Advisor changed firm · fact
Jeffery Alan Yorg left Buckingham Strategic Wealth, Llc for Focus Advisor Solutions, Llc (registered 2019-10-11)
Jul 1, 2024 · Advisor changed firm · fact
Ryan Fedder left Buckingham Strategic Wealth, Llc for Focus Advisor Solutions, Llc (registered 2023-06-16)
Jul 1, 2024 · Advisor changed firm · fact
Leanne Jeannette Geer left Buckingham Strategic Wealth, Llc for Focus Advisor Solutions, Llc (registered 2023-03-03)
Jul 1, 2024 · Advisor changed firm · fact
Andrew Elton Fenton left Buckingham Strategic Wealth, Llc for Focus Advisor Solutions, Llc (registered 2023-02-27)
Jul 1, 2024 · Advisor changed firm · fact
Andrey Vladimirovich Rudomiotov left Buckingham Strategic Wealth, Llc for Focus Advisor Solutions, Llc (registered 2017-11-02)
Jun 28, 2024 · Advisor changed firm · fact
Kevin Gene Carlton left Buckingham Strategic Wealth, Llc for Focus Advisor Solutions, Llc (registered 2016-07-01)
Jun 28, 2024 · Advisor changed firm · fact
Daniel John Rush left Buckingham Strategic Wealth, Llc for Focus Advisor Solutions, Llc (registered 2007-07-27)
Jun 28, 2024 · Advisor changed firm · fact
12 advisors left Buckingham Strategic Wealth, LLC (ST Louis, MO) for Focus Advisor Solutions, LLC within 3 days
Jun 28, 2024 · Team lift-out · derived
Blerina Hysi left Buckingham Strategic Wealth, Llc for Focus Advisor Solutions, Llc (registered 2013-08-21)
Jun 28, 2024 · Advisor changed firm · fact
Lindsay Michal Wales left Buckingham Strategic Wealth, Llc for Focus Advisor Solutions, Llc (registered 2021-11-01)
Jun 28, 2024 · Advisor changed firm · fact
Mark John Pitcher left Buckingham Strategic Wealth, Llc for Focus Advisor Solutions, Llc (registered 2014-09-18)
Jun 28, 2024 · Advisor changed firm · fact
3 advisors left Focus Advisor Solutions, LLC (ST Louis, MO) for Buckingham Strategic Wealth, LLC within 2 days
Jun 26, 2024 · Team lift-out · derived
Mary A. Ryan left Buckingham Strategic Wealth, Llc for J.P. Morgan Securities Llc (registered 2024-06-04)
Jun 18, 2024 · Advisor changed firm · fact
Andrew John Vanlaningham left Buckingham Strategic Wealth, Llc for Sigfig Wealth Management Llc (registered 2024-06-04)
May 17, 2024 · Advisor changed firm · fact
Wasserman Wealth Management, LLC's advisors moved to Buckingham Strategic Wealth, LLC (Farmington Hills, MI): 3 of 3 registered, on the same day
Mar 27, 2024 · Firm absorbed (people side) · derived
Buckingham Strategic Wealth, Llc reported 55 offices beyond its principal office, up from 48 (2023-12-19 to 2024-03-20)
Mar 20, 2024 · Office count change · derived
Brandon Gwynn Woods left Buckingham Strategic Wealth, Llc for Root Financial Partners (registered 2024-02-28)
Feb 7, 2024 · Advisor changed firm · fact
Life Plan Financial Advisory Group, LLC's advisors moved to Buckingham Strategic Wealth, LLC (Rochester Hills, MI): 3 of 3 registered, on the same day
Dec 13, 2023 · Firm absorbed (people side) · derived
Briggs Advisory Group, Inc.'s advisors moved to Buckingham Strategic Wealth, LLC (Lincoln, RI): 4 of 5 registered, on the same day
Dec 6, 2023 · Firm absorbed (people side) · derived
Bennett Alexander Potts (Member Of Board Of Directors Of Bam Management Llc, President- Buckingham Strategic Partners) no longer on Schedule A of Buckingham Strategic Wealth, Llc (listed 2023-09-29, absent 2023-10-24)
Oct 24, 2023 · Control person left · inference

Across DFX

shared identifiers only, never a name match

Buckingham Strategic Wealth, LLC · Private Equity
shared crd · intermediary

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