Tucker Jr., Douglas, Ray
- Regulatory AUM
- $339M
- Discretionary
- $339M
- Clients
- 2,436
- Avg AUM / client
- $139K
- Accounts
- 3,950
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Mar 16, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 2,367 | $226M | 66.5% |
| High net worth individuals | 62 | $93.5M | 27.6% |
| Pension and profit sharing plans | 7 | $15.5M | 4.56% |
| Charitable organizations | 0 | $1.6M | 0.48% |
| Corporations and other businesses | 0 | $2.8M | 0.83% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Douglas Ray Tucker | Owner / Chief Compliance Officer | Chartered Financial Consultant | Aug 2018 (8y) | 75% or more |
| Benjamin Lamar Auman | Registered representative | Jun 2021 (5y) | ||
| Daniel Mark Dean | Registered representative | Jun 2022 (4y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/16/2026 | 903 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $281M (83% of AUM) Mar 2026
- Capital Bank And Trust Company $57.8M (17% of AUM) Mar 2026
- American Funds/Cb&T $48.0M (18% of AUM) Mar 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 16, 2026.
View current Form ADV (SEC/IAPD) ↗