Tucker JR., Douglas, Ray provides financial planning and portfolio management for individuals and small businesses.
Tucker JR., Douglas, Ray reports 2,436 clients. They include 2,367 individual clients, 62 high-net-worth individuals, and 7 pension and profit-sharing plans. Of its assets, 100.0% ($339M across 3,950 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $647M. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 97% | 67% |
| High-net-worth individuals | 3% | 28% |
| Pension and profit-sharing plans | <1% | 5% |
| Charitable organizations | 0% | <1% |
| Corporations and other businesses | 0% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 2,367 | $226M | 66.5% | $95.3K |
| High-net-worth individuals | 62 | $93.5M | 27.6% | $1.51M |
| Pension and profit-sharing plans | 7 | $15.5M | 4.6% | $2.21M |
| Charitable organizations | Fewer than 5 | $1.64M | 0.5% | — |
| Corporations and other businesses | Fewer than 5 | $2.83M | 0.8% | — |
| Total | 2,436 | $339M | 100% | — |
- Clients
- 2,367
- Regulatory AUM
- $226M
- AUM share
- 66.5%
- Avg. per client
- $95.3K
- Clients
- 62
- Regulatory AUM
- $93.5M
- AUM share
- 27.6%
- Avg. per client
- $1.51M
- Clients
- 7
- Regulatory AUM
- $15.5M
- AUM share
- 4.6%
- Avg. per client
- $2.21M
- Clients
- Fewer than 5
- Regulatory AUM
- $1.64M
- AUM share
- 0.5%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $2.83M
- AUM share
- 0.8%
- Avg. per client
- —
Total
- Clients
- 2,436
- Regulatory AUM
- $339M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Tucker JR., Douglas, Ray is paid through a percentage of assets under management and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial planning
- Financial planning is a fixed fee agreed with the client, $100 to $200 per plan, charged in arrears and negotiable.
Douglas Tucker owns 75% or more of Tucker JR., Douglas, Ray. The leadership team of Tucker JR., Douglas, Ray includes Chief Compliance Officer Douglas Tucker. It has 3 employees.
Staff
- 3 employees
- 3 in advisory functions
- 3 state-registered reps
- 1 insurance agent
- 1 soliciting firm
- Owns 75% or more of Tucker JR., Douglas, Ray
Douglas Tucker
Control person · since August 2018
- Owns 10% to 25% of Tucker JR., Douglas, Ray
Benjamin Auman
since March 2026
Tucker JR., Douglas, Ray’s regulatory assets grew 2.1× from $162M (March 2021) to $339M (March 2026); clients rose from 1,517 to 2,436 and employees were 3 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $339M | 2,436 | 3 | 1 |
| Mar 2025March 2025 | $272M | 1,982 | 5 | 1 |
| Mar 2024March 2024 | $218M | 2,088 | 3 | 1 |
| Mar 2023March 2023 | $184M | 1,809 | 3 | 1 |
| Mar 2022March 2022 | $200M | 2,040 | 2 | 1 |
| Mar 2021March 2021 | $162M | 1,517 | 3 | 1 |
Besides its headquarters, Tucker JR., Douglas, Ray has 0 offices, with 1 listed address in 1 state.
Alabama · 1 listed address
- 254 Winton Blount Loop, MontgomeryHQ
Contact and registration details
- Legal name
- Tucker JR., Douglas, Ray
- Headquarters
- 254 Winton Blount Loop, Montgomery, AL 36117
- Website
- tuckerfinancial.net
- Phone
- 334-277-0500
- @tucker-financial-group
- SEC file
- 801-118704
- Structure
- Alabama sole proprietorship
- Fiscal year end
- December
Tucker JR., Douglas, Ray’s named custodians for separately managed accounts are Charles Schwab ($281M, 83%) and Capital Bank and Trust ($57.8M, 17%). Tucker JR., Douglas, Ray has custody of $324M for 2,433 clients.
The filed custodian amounts total more than regulatory assets under management. Each amount is shown as filed.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $281M83%
- Capital Bank and TrustCapital Bank and Trust Company · Irvine, CA · $57.8M17%
At year end, Tucker JR., Douglas, Ray’s separately managed accounts were mostly in funds (51%) and stocks (35%).
What the accounts hold
- Stocks35%
- Funds51%
- Cash14%
How many clients does Tucker JR., Douglas, Ray have?
Tucker JR., Douglas, Ray has 2,436 clients and manages $339 million for them, as of March 2026. They include 2,367 individual clients, 62 high-net-worth individuals, and 7 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 16 March 2026
What services does Tucker JR., Douglas, Ray offer?
Tucker JR., Douglas, Ray provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Tucker JR., Douglas, Ray use?
Tucker JR., Douglas, Ray’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $281M and Capital Bank and Trust Company (Irvine, CA), with $57.8M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 March 2026
How many financial advisors does Tucker JR., Douglas, Ray have?
Tucker JR., Douglas, Ray has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Tucker JR., Douglas, Ray invest in?
At the end of its last fiscal year, Tucker JR., Douglas, Ray’s separately managed accounts held 51% registered funds (mutual funds, ETFs, BDCs), 35% exchange-traded equities and 14% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Tucker JR., Douglas, Ray?
Tucker JR., Douglas, Ray’s direct owners are Douglas Tucker (75% or more) and Benjamin Auman (10% to 25%).
Source: Form ADV Part 1A, Schedules A and B, filed 16 March 2026
How does Tucker JR., Douglas, Ray get paid?
Tucker JR., Douglas, Ray is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Tucker JR., Douglas, Ray?
Tucker JR., Douglas, Ray’s main office is at 254 Winton Blount Loop, Montgomery, AL 36117. Its phone number is 334-277-0500. Its website is tuckerfinancial.net.