Buckman Advisory Group LLC

Buckman Advisory Group provides advisory services to individuals (including high‑net‑worth clients), trusts, estates, charitable organizations and retirement plans, offering ongoing discretionary portfolio management, financial planning, and access to third‑party money managers. The firm also sponsors a wrap fee program and offers model‑based asset allocation across a range of risk profiles.

The firm constructs portfolios using a mix of fundamental, technical and cyclical analysis and typically implements strategies with mutual funds, equities, bonds and ETFs; it may use satellite asset classes (alternatives, options, futures) for clients with appropriate size and risk tolerance. Accounts are generally managed on a discretionary basis, reviewed at least quarterly, and monitored for consistency with each client’s objectives, time horizon and risk tolerance.

Buckman’s operating structure includes several features that differ from many peers: it maintains limited custody of client assets (including fee deduction authority and, in some cases, power of attorney) and undergoes an annual surprise accountant examination; its common ownership with affiliate broker‑dealer Buckman, Buckman & Reid results in clearing and compensation arrangements with RBC (including order‑flow rebates, signing credits tied to AUM transfers, and sharing of margin/sweep compensation). The firm also discloses that its representatives may accept commissions and insurance compensation, and it resolved an SEC enforcement action in 2022 that included a censure, a $400,000 firm penalty and an undertaking to retain an independent compliance consultant.