DALE BUCKNER, INC.
Adviser information for DALE BUCKNER, INC. last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 811 | $150.4M |
| Non-Discretionary | 41 | $8.7M |
| Total | 852 | $159.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 519 | $104.9M |
| HNW Individuals | 35 | $52.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $1.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-110346 |
|---|---|
| SEC ERA File Number | 801-110346 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 116342 |
| Legal Entity Identifier | None |
Principal Office
301 S. POLKSUITE 420
AMARILLO
TX
United States
Monday - Friday, 8:30 A.M.-5:30 P.M.
Tel: 1-806-358-7977, Fax: 1-806-358-8050
Chief Compliance Officer
BRETT HANSEN
SENIOR VICE PRESIDENT
301 S POLK
SUITE 420
AMARILLO
TX
United States
Tel:
806-358-7977
Fax:
1-806-358-8050
B****@**************M
(Full email address available in API data)
Regulatory Contact
TERESA ROOP
REGISTERED REPRESENTATIVE
301 S. POLK
SUITE 420
AMARILLO
TX
United States
Tel:
1-806-358-7977
Fax:
1-806-358-8050
T*****@**************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BUCKNER, DALE, EDWARD | Individual | – | PRESIDENT/CCO/CHAIRMAN OF THE BOARD/SHAREHOLDER | 02/2006 | > 75% |
| HANSEN, BRETT, DEWAYNE | Individual | – | SENIOR VICE PRESIDENT | 07/2018 | < 5% |