TUCKER FINANCIAL GROUP
TUCKER JR., DOUGLAS, RAY Legal Name
Adviser information for TUCKER FINANCIAL GROUP last updated from Form ADV on March 11th, 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 | Sole Proprietorship |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Alabama, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4,258 | $215.1M |
| Non-Discretionary | 10 | $2.7M |
| Total | 4,268 | $217.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,039 | $157.3M |
| HNW Individuals | 39 | $57.5M |
| 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 | 10 | $2.7M |
| Charitable organizations | <5 | $223,565 |
| 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 | 0 | $0 |
| 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 | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Insurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 217.8M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ASSET MANAGEMENT SERVICES | TUCKER FINANCIAL GROUP |
Identifiers
| SEC RIA File Number | 801-118704 |
|---|---|
| SEC ERA File Number | 801-118704 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 298292 |
| Legal Entity Identifier | None |
Principal Office
254 WINTON BLOUNT LOOPMONTGOMERY
AL
United States
Monday - Friday, 9-5
Tel: 334-277-0500, Fax: 334-277-8564
Websites
Chief Compliance Officer
DOUGLAS RAY TUCKER, JR.
OWNER / CCO
254 WINTON BLOUNT LOOP
MONTGOMERY
AL
United States
Tel:
334-277-0500
Fax:
334-277-8564
R**@******************T
(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 |
|---|---|---|---|---|---|
| TUCKER, DOUGLAS, RAY | Individual | – | OWNER / CHIEF COMPLIANCE OFFICER | 08/2018 | > 75% |