|
⚲
|
| Keyboard |
| Buckingham Capital Management Inc
✚
|
|
|---|---|
| CRD # | 117984 |
| SEC # | 801-61296 |
| CIK # | 0001089212, 0001567634 |
| AUM | |
| Employees | 14 (100% Investors, 0% Brokers) |
| Fees | |
| Minimum | |
| Phone | 937-435-2742 |
| Address | 6856 Loop Road Dayton, OH 45459 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] [Facebook] |
| Total AUM ($M) |
|---|
| Fees and Compensation — Form ADV Part 2A (3/26/2024) [Brochure] |
|---|
Item 5 Fees and Compensation A. PORTFOLIO MANAGEMENT FEES The annualized fee for Portfolio Management Services will be charged as a percentage of assets under management, according to the following schedule: Assets under Management Annual Fee First $1,000,000 1.50% Next $250,000 1.25% Next $750,000 1.00% Amounts exceeding $2,000,000 0.85% Our fees are billed monthly or quarterly, in advance, at the beginning of each month based upon the value (market value or fair market value in the absence of market value), of the client's account at the end of the previous billing period. Fees are calculated by taking the market value of your account and multiplying it by your annual management fee percentage relative to the number of days in each billing period. Fees will be debited from the account in accordance with the client authorization in the Schedule A to Investment Advisory Agreement. Advisory fees may be billed directly to the client and not deducted from the client’s account in accordance with the authorization in the Client Services Agreement. Under no circumstances do we require or solicit payment of fees in excess of $1200 more than six months in advance of services rendered. Although we have established the fee schedules above, we retain the discretion to negotiate fees on a client-by-client basis. Your facts, circumstances and needs will be considered in determining the fee schedule. These include the complexity of your financial situation, the amount of assets to be placed under management, anticipated future additional assets, related accounts, portfolio style, account composition, reports, among other factors. The specific annual fee schedule will be identified in our contract. We may group certain related client accounts for the purposes of achieving the minimum account size requirements and determining the annualized fee. Discounts not generally available to our advisory clients may be offered to family members and friends of associated persons of our firm. A client agreement may be canceled at any time, by either party, for any reason upon receipt of 30 days written notice. As disclosed above, certain fees are paid in advance of services provided. Upon termination of any account, you will be invoiced through the end of the month in which termination is made. Any prepaid, unearned fees will be promptly refunded, and any earned, unpaid fees will be due and payable. All fees paid to Buckingham Capital Management, Inc. for investment advisory services are separate and distinct from the fees and expenses charged by mutual funds and/or ETFs to their shareholders. These fees and expenses are described in each fund's prospectus. These fees will generally include a management fee, other fund expenses, and a possible distribution fee. If the fund also imposes sales charges, a client may pay an initial or deferred sales charge. A client could invest in a mutual fund directly, without our services. In that case, the client would not receive the services provided by our firm which are designed, among other things, to assist the client in determining which mutual fund or funds are most appropriate to each client's financial condition and objectives. Accordingly, the client should review both the fees charged by the funds and our fees to fully understand the total amount of fees to be paid by the client and to thereby evaluate the advisory services being provided. In addition to our advisory fees, clients are also responsible for the fees and expenses charged by custodians and imposed by broker dealers, including, but not limited to, any transaction charges imposed by a broker dealer with which an independent investment manager effects transactions for the client's account(s). Please refer to the "Brokerage Practices" section (Item 12) of this Form ADV for additional information. Buckingham Capital Management, Inc. is deemed to be a fiduciary to advisory clients that are employee benefit plans or individual retirement accounts (IRAs) pursuant to the Employee Retirement Income and Securities Act (“ERISA”). As such, our firm is subject to specific duties and obligations under ERISA and the Internal Revenue Code that include among other things, restrictions concerning certain forms of compensation. To avoid engaging in prohibited transactions, Buckingham Capital Management, Inc. may only charge fees for investment advice about products for which our firm and/or our related persons do not receive any commissions or 12b-1 fees, or conversely, investment advice about products for which our firm and/or our related persons receive commissions or 12b-1 fees, however, only when such fees are used to offset Buckingham Capital Management, Inc.'s advisory fees. Clients should note that similar advisory services may (or may not) be available from other registered (or unregistered) investment advisers for similar or lower fees. B. INVESTMENT CONSULTING FEES We charge Investment Consulting fees on a flat fee basis. The Advisor’s flat fee begins at $300, depending upon the nature and complexity of services or as otherwise determined at the discretion of the Adviser. Where a project fee for services is proposed, we may request a deposit equal to ½ of the total proposed fee, with the balance due upon the delivery of services. At no time will this deposit be more than $1,200. We determine the proposed fee by estimating the total number of hours anticipated to complete the project, along with the nature and complexity of the client’s request. We retain the discretion to negotiate fees on a client- by-client basis. Clients should note that similar advisory services may (or may not) be available from other registered (or unregistered) investment advisers for similar or lower fees. C. RETIREMENT PLAN CONSULTING FEES For Retirement Plan Consulting Services, Buckingham Capital Management will charge an ... |
| Account Minimums and Types of Clients — Form ADV Part 2A (3/26/2024) [Brochure] |
|---|
Item 7 Types of Clients Buckingham Capital Management, Inc. provides advisory services to the following types of clients: Individuals (other than high net worth individuals) High net worth individuals Pension and profit sharing plans (other than plan participants) Charitable organizations Corporations |
| Sector | Form 13F Holdings | Value ($M) | |
|---|---|---|---|
| Apple Inc | 43.7 | ||
| Nvidia Corp | 29.5 | ||
| Microsoft Corp | 26.6 | ||
| Broadcom Inc | 25.0 | ||
| Alphabet Inc | 23.6 | ||
| Amazon Com Inc | 23.2 | ||
| Taiwan Semiconductor Manufacturing Co Ltd | 20.6 | ||
| BlackRock Inc | 15.6 | ||
| Salesforce Com Inc | 15.4 | ||
| Honeywell International Inc | 14.2 | ||
| View All | |||
| Holdings by Sector ($M) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| HF | Buckingham International Partners Master Fund LP | [2012-03-30] | 215.7 M | 63.3 M |
| Filed 2019-09-04 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $1,000,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | Buckingham Partners II LP | [2012-03-30] | 494.8 M | 274.3 M |
| Filed 2019-09-04 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $1,000,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | Buckingham Partners LP | 2012-03-30 | 46.8 M | |
| HF | Buckingham RAF International Partners Master Fund LP | [2012-03-30] | 631.8 M | 46.4 M |
| Filed 2019-09-04 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $1,000,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | Buckingham RAF Partners II LP | 2012-03-30 | 204.9 M | |
| HF | Buckingham RAF Partners LP | [2012-03-30] | 475.6 M | 253.5 M |
| Filed 2019-09-04 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $1,000,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | Managed Account Investments SPC-BCM Segregated Portfolio | [2012-03-30] | 810.4 M | 57.0 M |
| Filed 2013-02-28 (D/A) · Exemption 506, 3(c), 3(c)(7) · Minimum $1,000,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 1,058 | 315.4 |
| (b) Individuals (high net worth individuals) | 221 | 586.3 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 5 | 8.7 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 2 | 0.6 |
| (n) Other | 0 | 0.0 |
| Total | 3,190 | 911.0 |
| By Discretionary | ||
| Discretionary | 2,996 | 850.3 |
| Non-Discretionary | 194 | 60.7 |
| Total | 3,190 | 911.0 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 911.0 | |
| Total | 3,190 | 911.0 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| David Bree | Director | 428 | 100 | |
| Don Seymour | Director | 315 | 72 | |
| Peter Goldstein | Director | 27 | 2 | |
| Buckingham Capital Management Inc | Promoter | 6 | 2 | |
| Stephen Maguire | Executive Officer | 5 | 2 | |
| Lawrence Leeds Jr | Executive Officer | 4 | 2 | |
| Manny Korman | Executive Officer | 4 | 2 | |
| David Keidan | Executive Officer | 4 | 2 | |
| Lloyd Karp | Director | 2 | 1 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-HR | [0001089212] | |
| 3 | [0001089212] | |
| 4 | [0001089212] | |
| SC 13G | [0001089212] | |
| 13F-HR | [0001567634] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $1.6B |
| Serves | Institutional, Retail, Research |
| Fund Types | Hedge Fund |
| Form 3/4/5 Subject | 2011 - 2026 |
|---|---|
| UCP Inc | |
| Buckingham Capital Management Inc | |
| XCel Brands Inc |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
UCP Inc UCP
Class A Common Stock
|
2017-08-04 | Disposed to issuer | 921,327 | ||
|
UCP Inc UCP
UCP, Inc.
|
2017-01-04 | Sell | 12,289 | $12.03 | 147,837 |
|
UCP Inc UCP
UCP, Inc.
|
2017-01-03 | Sell | 30,208 | $12.02 | 363,100 |
|
UCP Inc UCP
UCP, Inc.
|
2017-01-03 | Sell | 1,711 | $12.04 | 20,600 |
|
UCP Inc UCP
UCP, Inc.
|
2016-04-26 | Sell | 23,747 | $7.32 | 173,828 |
|
UCP Inc UCP
UCP, Inc.
|
2016-04-25 | Sell | 13,550 | $7.41 | 100,406 |
|
UCP Inc UCP
UCP, Inc.
|
2016-04-22 | Sell | 7,996 | $7.77 | 62,129 |
|
UCP Inc UCP
UCP, Inc.
|
2016-04-22 | Sell | 1,623 | $7.70 | 12,497 |
|
UCP Inc UCP
UCP, Inc.
|
2016-04-21 | Sell | 4,088 | $7.81 | 31,927 |
|
UCP Inc UCP
UCP, Inc.
|
2016-04-21 | Sell | 4,322 | $7.81 | 33,755 |
|
UCP Inc UCP
UCP, Inc.
|
2016-04-20 | Sell | 7,709 | $7.86 | 60,593 |
|
UCP Inc UCP
UCP, Inc.
|
2016-04-19 | Sell | 2,016 | $7.85 | 15,826 |
|
UCP Inc UCP
UCP, Inc.
|
2015-12-17 | Buy | 7,451 | $7.35 | 54,765 |
|
UCP Inc UCP
UCP, Inc.
|
2015-12-16 | Buy | 3,100 | $7.15 | 22,165 |
|
UCP Inc UCP
UCP, Inc.
|
2015-12-16 | Sell | 2,085 | $6.97 | 14,532 |
|
UCP Inc UCP
UCP, Inc.
|
2015-12-15 | Sell | 8,466 | $7.24 | 61,294 |
|
UCP Inc UCP
UCP, Inc.
|
2015-06-12 | Buy | 80,000 | $7.22 | 577,600 |
|
UCP Inc UCP
UCP, Inc.
|
2015-05-29 | Buy | 60,599 | $8.22 | 498,124 |
|
UCP Inc UCP
UCP, Inc.
|
2015-05-28 | Buy | 7,705 | $8.27 | 63,720 |
|
UCP Inc ucp
UCP,Inc.
|
2015-02-03 | Buy | 3,545 | $9.50 | 33,678 |
| showing 20 of 22 most recent transactions | |||||
| Related Firms | State | AUM |
|---|---|---|
|
Buckingham Capital Management Inc
✚
|
OH | |
|
Buckingham Financial Group Inc
✚
|
OH |