Hedge Fund Database

TCI WEALTH ADVISORS, INC.

Adviser information for TCI WEALTH ADVISORS, INC. last updated from Form ADV on March 19th, 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 Arizona, United States

Employees

Total Number of Employees 56
Investment Advisory/Research 30
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 30
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 10,247 $4.1B
Non-Discretionary 5 $16.9M
Total 10,252 $4.1B

Clients

Type Number RAUM
Individuals 1,843 $753.7M
HNW Individuals 1,004 $3.2B
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 49 $111.7M
Charitable organizations 7 $32.4M
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 22 $25.2M
Other 0 $0
Type Number
No. of Non-RAUM Clients 21
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 3000

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-37083
SEC ERA File Number 801-37083
SEC CIK Numbers 1583751
SEC CRD Numbers 107373
Legal Entity Identifier None

Principal Office

4011 EAST SUNRISE DRIVE
TUCSON
AZ
United States
Monday - Friday, 7:30AM-4:30PM
Tel: 520-733-1477, Fax: 520-733-1488

Websites

twitter.com/tciwealth?lang=en www.linkedin.com/company/tci-wealth-advisors-inc- www.tciwealth.com www.facebook.com/tciwealthadvisors/

Chief Compliance Officer

SIMONE GEHNER
4011 EAST SUNRISE DRIVE
TUCSON
AZ
United States
Tel: 520-733-1477
Fax: 520-733-1488
(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
JOHN J. AND KELLY H. STEPHENS FAMILY TRUST Domestic Entity – SHAREHOLDER 03/2005 10-25%
STEPHENS, JOHN, JOSEPH Individual JOHN J. AND KELLY H. STEPHENS FAMILY TRUST TRUSTEE 11/1995 50-75%
STEPHENS, KELLY, H Individual JOHN J. AND KELLY H. STEPHENS FAMILY TRUST TRUSTEE 11/1995 50-75%
NICHOLS, CATHERINE, ANN Individual – SHAREHOLDER 05/2008 5-10%
HOLMAN, GUY, WESLEY Individual – SHAREHOLDER 01/2012 5-10%
GROSSO, MICHAEL, ANTHONY Individual MICHAEL ANTHONY GROSSO LIVING TRUST TRUSTEE 12/2015 > 75%
MICHAEL ANTHONY GROSSO LIVING TRUST Domestic Entity – SHAREHOLDER 01/2015 5-10%
SWIFT, SAMUEL, THOMAS Individual – CHIEF EXECUTIVE OFFICER AND PRESIDENT 01/2023 5-10%
TELLEZ, ARTURO, RAMIRO Individual – SHAREHOLDER AND CHIEF PRACTICE OFFICER 01/2023 < 5%
Gehner, Simone, Narelle Individual – SHAREHOLDER AND CHIEF COMPLIANCE OFFICER 01/2021 < 5%
THE DOUG AND BRENDA NELSON 2017 LIVING TRUST Domestic Entity – SHAREHOLDER 02/2021 5-10%
NELSON, DOUGLAS, LEE Individual THE DOUG AND BRENDA NELSON 2017 LIVING TRUST TRUSTEE 06/2017 > 75%
THE MICHAEL AND MICHELLE ABESHAUS FAMILY TRUST Domestic Entity – SHAREHOLDER 02/2021 5-10%
ABESHAUS, MICHAEL Individual THE MICHAEL AND MICHELLE ABESHAUS FAMILY TRUST TRUSTEE 08/1998 > 75%
RIEBE, KENNETH, GERHARD Individual – SHAREHOLDER 02/2021 5-10%
THE JUSTIN M & JULIE A. THOMAS FAMILY TRUST Domestic Entity – SHAREHOLDER 01/2023 5-10%
SWIFT, ASHLEY, MEREDITH Individual – SHAREHOLDER AND CHIEF OPERATIONS OFFICER 01/2023 < 5%
THOMAS, JULIE, ANN Individual THE JUSTIN M & JULIE A. THOMAS FAMILY TRUST GRANTOR AND TRUSTEE 01/2023
THOMAS, JUSTIN, MATTHEW Individual THE JUSTIN M & JULIE A. THOMAS FAMILY TRUST GRANTOR AND TRUSTEE 01/2023

No. Employees, Historic

80400201920202021202220232024202577 on 7/9/201977 on 9/6/201977 on 12/23/201970 on 3/16/202070 on 5/22/202070 on 6/19/202070 on 6/26/202070 on 11/6/202070 on 12/9/202070 on 1/22/202155 on 3/30/202155 on 3/31/202255 on 4/15/202255 on 6/8/202255 on 7/29/202255 on 11/23/202254 on 1/31/202354 on 2/21/202354 on 5/2/202354 on 6/5/202355 on 10/17/202355 on 11/3/202355 on 11/28/202356 on 12/20/202356 on 3/19/2024

RAUM, Historic

5B3B020192020202120222023202420252464227049 on 7/9/20192464227049 on 9/6/20192464227049 on 12/23/20192973412645 on 3/16/20202973412645 on 5/22/20202973412645 on 6/19/20202973412645 on 6/26/20202973412645 on 11/6/20202973412645 on 12/9/20202973412645 on 1/22/20213182065274 on 3/30/20213764466869 on 3/31/20223764466869 on 4/15/20223764466869 on 6/8/20223764466869 on 7/29/20223764466869 on 11/23/20223431526695 on 1/31/20233431526695 on 2/21/20233431526695 on 5/2/20233431526695 on 6/5/20233431526695 on 10/17/20233431526695 on 11/3/20233431526695 on 11/28/20233431526695 on 12/20/20234091666732 on 3/19/2024

No. Clients, Historic

3,0001,500020192020202120222023202420252167 on 7/9/20192167 on 9/6/20192167 on 12/23/20192271 on 3/16/20202271 on 5/22/20202271 on 6/19/20202271 on 6/26/20202271 on 11/6/20202271 on 12/9/20202271 on 1/22/20212343 on 3/30/20212534 on 3/31/20222534 on 4/15/20222534 on 6/8/20222534 on 7/29/20222534 on 11/23/20222698 on 1/31/20232698 on 2/21/20232698 on 5/2/20232698 on 6/5/20232698 on 10/17/20232698 on 11/3/20232698 on 11/28/20232698 on 12/20/20232925 on 3/19/2024

Holdings

From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 1M 12K –
ABBOTT LABS COM 2M 19K –
ABBVIE INC COM 3M 16K –
ACCELERATE DIAGNOSTICS INC COM NEW 69K 59K –
ADOBE INC COM 375K 675 –
ADVANCED MICRO DEVICES INC COM 676K 4K –
ALPHABET INC CAP STK CL C 5M 25K –
ALPHABET INC CAP STK CL A 3M 19K –
ALTRIA GROUP INC COM 408K 9K –
AMAZON COM INC COM 9M 45K –
AMERICAN CENTY ETF TR AVANTIS RESPONSI 417K 8K –
AMERICAN CENTY ETF TR AVANTIS RESPON U 320K 5K –
AMERICAN CENTY ETF TR US SML CP VALU 69M 769K –
AMERICAN CENTY ETF TR INTL EQT ETF 8M 132K –
AMERICAN CENTY ETF TR INTL SMCP VLU 40M 611K –
AMERICAN CENTY ETF TR AVANTIS RESPONSI 234K 5K –
AMERICAN CENTY ETF TR US LARGE CAP VLU 2M 24K –
AMERICAN CENTY ETF TR AVANTIS EMGMKT 16M 269K –
AMERICAN EXPRESS CO COM 1M 5K –
AMGEN INC COM 1M 4K –
ANALOG DEVICES INC COM 236K 1K –
APPLE INC COM 30M 141K –
APPLIED MATLS INC COM 410K 2K –
APTARGROUP INC COM 385K 3K –
AT&T INC COM 940K 49K –
BANK AMERICA CORP COM 817K 21K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 8M 21K –
BLACKROCK INC COM 224K 285 –
BLACKSTONE INC COM 493K 4K –
BOEING CO COM 344K 2K –
BOOKING HOLDINGS INC COM 349K 88 –
BRISTOL-MYERS SQUIBB CO COM 279K 7K –
BROADCOM INC COM 860K 536 –
CALAVO GROWERS INC COM 252K 11K –
CATERPILLAR INC COM 5M 16K –
CEMEX SAB DE CV SPON ADR NEW 71K 11K –
CENCORA INC COM 306K 1K –
CHEVRON CORP NEW COM 4M 28K –
CHUBB LIMITED COM 269K 1K –
CHURCHILL DOWNS INC COM 210K 2K –
CINTAS CORP COM 472K 674 –
CISCO SYS INC COM 516K 11K –
CLEAR CHANNEL OUTDOOR HLDGS COM 40K 29K –
CLOROX CO DEL COM 3M 21K –
COCA COLA CO COM 308K 5K –
COMCAST CORP NEW CL A 450K 11K –
COSTCO WHSL CORP NEW COM 5M 6K –
CSW INDUSTRIALS INC COM 229K 862 –
CVS HEALTH CORP COM 885K 15K –
D R HORTON INC COM 201K 1K –
DANAHER CORPORATION COM 2M 8K –
DEERE & CO COM 523K 1K –
DIMENSIONAL ETF TRUST INTL SMALL CAP E 22M 909K –
DIMENSIONAL ETF TRUST INTERNATIONAL 407K 12K –
DIMENSIONAL ETF TRUST US SMALL CAP VAL 419K 15K –
DIMENSIONAL ETF TRUST US CORE EQUITY 2 58M 2M –
DIMENSIONAL ETF TRUST GLOBAL REAL EST 24M 970K –
DIMENSIONAL ETF TRUST US HIGH PROFITAB 16M 491K –
DIMENSIONAL ETF TRUST SHORT DURATION F 407K 9K –
DIMENSIONAL ETF TRUST INTL CORE EQUITY 250K 10K –
DIMENSIONAL ETF TRUST US SMALL CAP ETF 136M 2M –
DIMENSIONAL ETF TRUST EMERGING MARKETS 258K 8K –
DIMENSIONAL ETF TRUST US EQUITY ETF 136M 2M –
DIMENSIONAL ETF TRUST EMGR CRE EQT MNG 17M 651K –
DIMENSIONAL ETF TRUST US SUSTAINABILTY 925K 27K –
DIMENSIONAL ETF TRUST WORLD EX US CORE 21M 827K –
DIMENSIONAL ETF TRUST INTL HIGH PROFIT 13M 484K –
DIMENSIONAL ETF TRUST US REAL ESTATE E 257K 12K –
DIMENSIONAL ETF TRUST US TARGETED VLU 27M 515K –
DIMENSIONAL ETF TRUST US LARGE CAP VAL 2M 69K –
DIMENSIONAL ETF TRUST INTL CORE EQT MK 4M 131K –
DIMENSIONAL ETF TRUST INTERNATNAL VAL 45M 1M –
DIMENSIONAL ETF TRUST US MKTWIDE VALUE 85M 2M –
DIMENSIONAL ETF TRUST GLOBAL CORE PLUS 23M 428K –
DIMENSIONAL ETF TRUST WORLD EQUITY ETF 451K 8K –
DISNEY WALT CO COM 620K 6K –
DOMINION ENERGY INC COM 677K 14K –
DTE ENERGY CO COM 265K 2K –
DUKE ENERGY CORP NEW COM NEW 274K 3K –
DUPONT DE NEMOURS INC COM 208K 3K –
ELEVANCE HEALTH INC COM 260K 479 –
ELI LILLY & CO COM 7M 8K –
EXXON MOBIL CORP COM 7M 58K –
FEDEX CORP COM 564K 2K –
FORD MTR CO DEL COM 164K 13K –
FORTIVE CORP COM 251K 3K –
GE AEROSPACE COM NEW 767K 5K –
GE VERNOVA INC COM 201K 1K –
GOLDMAN SACHS GROUP INC COM 626K 1K –
GRAINGER W W INC COM 586K 650 –
HF SINCLAIR CORP COM 248K 5K –
HOME DEPOT INC COM 2M 7K –
HONEYWELL INTL INC COM 3M 16K –
ILLINOIS TOOL WKS INC COM 1M 5K –
INTEL CORP COM 767K 25K –
INTERNATIONAL BUSINESS MACHS COM 1M 6K –
INTUIT COM 487K 741 –
INTUITIVE SURGICAL INC COM NEW 476K 1K –
INVESCO EXCHANGE TRADED FD T AI AND NEXT GEN 400K 8K –
INVESCO QQQ TR UNIT SER 1 2M 4K –
ISHARES TR CORE MSCI EAFE 404K 6K –
ISHARES TR RUS 1000 VAL ETF 1M 6K –
ISHARES TR TRS FLT RT BD 1M 22K –
ISHARES TR RUSSELL 2000 ETF 303K 1K –
ISHARES TR MSCI USA QLT FCT 4M 25K –
ISHARES TR RUS MID CAP ETF 430K 5K –
ISHARES TR INTL SEL DIV ETF 275K 10K –
ISHARES TR MSCI EAFE ETF 1M 16K –
ISHARES TR RUS 1000 GRW ETF 665K 2K –
ISHARES TR MSCI USA MMENTM 252K 1K –
ISHARES TR US AER DEF ETF 214K 2K –
ISHARES TR SELECT DIVID ETF 1M 10K –
ISHARES TR CORE S&P SCP ETF 320K 3K –
ISHARES TR ESG AWARE MSCI 238K 6K –
ISHARES TR CORE US AGGBD ET 21M 218K –
ISHARES TR US INFRASTRUC 437K 10K –
ISHARES TR MSCI USA MIN VOL 381K 5K –
ISHARES TR CORE S&P500 ETF 7M 12K –
ISHARES TR PFD AND INCM SEC 388K 12K –
ISHARES U S ETF TR BLACKROCK SH DUR 591K 12K –
JOHNSON & JOHNSON COM 6M 39K –
JPMORGAN CHASE & CO. COM 3M 16K –
KIMBERLY-CLARK CORP COM 3M 20K –
LAM RESEARCH CORP COM 260K 244 –
LENNOX INTL INC COM 439K 820 –
LOCKHEED MARTIN CORP COM 911K 2K –
LOWES COS INC COM 379K 2K –
MARATHON PETE CORP COM 646K 4K –
MARSH & MCLENNAN COS INC COM 336K 2K –
MASTERCARD INCORPORATED CL A 1M 3K –
MATCH GROUP INC NEW COM 276K 9K –
MCDONALDS CORP COM 5M 19K –
MCKESSON CORP COM 888K 2K –
MEDTRONIC PLC SHS 442K 6K –
MERCK & CO INC COM 1M 10K –
META PLATFORMS INC CL A 2M 4K –
MICROSOFT CORP COM 15M 34K –
MISTER CAR WASH INC COM 314K 44K –
MONDELEZ INTL INC CL A 315K 5K –
MOODYS CORP COM 212K 504 –
NETFLIX INC COM 321K 475 –
NEXTERA ENERGY INC COM 360K 5K –
NORFOLK SOUTHN CORP COM 393K 2K –
NUCOR CORP COM 338K 2K –
NVIDIA CORPORATION COM 6M 49K –
OCCIDENTAL PETE CORP COM 368K 6K –
ONEOK INC NEW COM 278K 3K –
ORACLE CORP COM 604K 4K –
PEPSICO INC COM 2M 15K –
PFIZER INC COM 409K 15K –
PHILIP MORRIS INTL INC COM 578K 6K –
PHILLIPS 66 COM 281K 2K –
PINNACLE WEST CAP CORP COM 643K 8K –
PPG INDS INC COM 506K 4K –
PRICE T ROWE GROUP INC COM 313K 3K –
PROCTER AND GAMBLE CO COM 2M 15K –
QUALCOMM INC COM 1M 6K –
RTX CORPORATION COM 754K 8K –
SALESFORCE INC COM 360K 1K –
SCHWAB CHARLES CORP COM 944K 13K –
SCHWAB STRATEGIC TR US LRG CAP ETF 434K 7K –
SCHWAB STRATEGIC TR US SML CAP ETF 303K 6K –
SCHWAB STRATEGIC TR INTL EQTY ETF 656K 17K –
SCHWAB STRATEGIC TR US LCAP GR ETF 537K 5K –
SERVICENOW INC COM 853K 1K –
SM ENERGY CO COM 2M 39K –
SOUTHERN CO COM 340K 4K –
SPDR GOLD TR GOLD SHS 372K 2K –
SPDR INDEX SHS FDS S&P INTL SMLCP 283K 9K –
SPDR S&P 500 ETF TR TR UNIT 5M 10K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 678K 1K –
STARBUCKS CORP COM 358K 5K –
STRYKER CORPORATION COM 310K 911 –
SYSCO CORP COM 237K 3K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 206K 1K –
TEGNA INC COM 147K 11K –
TESLA INC COM 1M 7K –
TEXAS INSTRS INC COM 1M 5K –
THE CIGNA GROUP COM 306K 925 –
THE REAL BROKERAGE INC COM NEW 63K 16K –
THERMO FISHER SCIENTIFIC INC COM 552K 998 –
TJX COS INC NEW COM 468K 4K –
TRACTOR SUPPLY CO COM 217K 805 –
TRAVELERS COMPANIES INC COM 472K 2K –
UNION PAC CORP COM 1M 6K –
UNITED RENTALS INC COM 257K 398 –
UNITEDHEALTH GROUP INC COM 904K 2K –
UPSTART HLDGS INC COM 991K 42K –
VALERO ENERGY CORP COM 372K 2K –
VANGUARD BD INDEX FDS INTERMED TERM 490K 7K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 2M 25K –
VANGUARD BD INDEX FDS SHORT TRM BOND 942K 12K –
VANGUARD INDEX FDS S&P 500 ETF SHS 2M 5K –
VANGUARD INDEX FDS REAL ESTATE ETF 2M 19K –
VANGUARD INDEX FDS SML CP GRW ETF 1M 5K –
VANGUARD INDEX FDS SMALL CP ETF 2M 7K –
VANGUARD INDEX FDS TOTAL STK MKT 14M 54K –
VANGUARD INDEX FDS GROWTH ETF 819K 2K –
VANGUARD INDEX FDS VALUE ETF 704K 4K –
VANGUARD INDEX FDS SM CP VAL ETF 603K 3K –
VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 771K 7K –
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 506K 4K –
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 594K 10K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 479K 11K –
VANGUARD MUN BD FDS TAX EXEMPT BD 376K 8K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 710K 4K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 322K 7K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 362K 3K –
VANGUARD WORLD FD ENERGY ETF 2M 15K –
VANGUARD WORLD FD INF TECH ETF 291K 505 –
VERALTO CORP COM SHS 242K 3K –
VERIZON COMMUNICATIONS INC COM 1M 25K –
VISA INC COM CL A 1M 5K –
WALMART INC COM 1M 19K –
WASTE MGMT INC DEL COM 206K 967 –
WELLS FARGO CO NEW COM 261K 4K –
WISDOMTREE TR INTL SMCAP DIV 238K 4K –
WOODWARD INC COM 3M 19K –
XCEL ENERGY INC COM 224K 4K –
ZIONS BANCORPORATION N A COM 645K 15K –
ZSCALER INC COM 854K 4K –