{"url":"https://nivawealth.com/firms/tucker-jr-douglas-ray-298292","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/298292","regulatoryAum":339025322,"crd":"298292","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6977257","suffix":null,"lastName":"AUMAN","firstName":"BENJAMIN","middleName":"LAMAR"},{"crd":"7283643","suffix":null,"lastName":"DEAN","firstName":"DANIEL","middleName":"MARK"},{"crd":"1428708","suffix":"JR","lastName":"TUCKER","firstName":"DOUGLAS","middleName":"RAY"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-04","regulatoryAum":162467528,"clients":1517,"employees":3,"offices":1},{"filedOn":"2022-03-22","regulatoryAum":199905708,"clients":2040,"employees":2,"offices":1},{"filedOn":"2023-03-06","regulatoryAum":183858108,"clients":1809,"employees":3,"offices":1},{"filedOn":"2024-03-11","regulatoryAum":217830660,"clients":2088,"employees":3,"offices":1},{"filedOn":"2025-03-14","regulatoryAum":271585954,"clients":1982,"employees":5,"offices":1},{"filedOn":"2026-03-16","regulatoryAum":339025322,"clients":2436,"employees":3,"offices":1}],"secFileNumber":"801-118704","legalName":"Tucker 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arrears and negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019365","versionId":1019365,"submittedOn":"2026-03-16","documentName":"FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T10:30:46.194433+00:00","documents":[{"name":"FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019365","versionId":1019365,"submittedOn":"2026-03-16"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019366","versionId":1019366,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":281201078},{"name":"Capital Bank and Trust Company","shortName":"Capital Bank and Trust","location":"Irvine, CA","smaAssets":57824245}],"custodyNote":"Tucker JR., Douglas, Ray has custody of $324M for 2,433 clients.","otherCustodians":[],"leadership":[{"name":"Douglas Tucker","title":"Majority Owner / Chief Compliance Officer","crd":"1428708"},{"name":"Benjamin Auman","title":"Minority Owner","crd":"6977257"}],"ownership":[{"label":"Douglas Tucker","detail":"Majority owner / chief compliance officer in the 75% or more ownership band and a control person, since August 2018."},{"label":"Benjamin Auman","detail":"Minority owner in the 10% to 25% ownership band, since March 2026."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Alabama","offices":1,"addresses":[{"street":"254 Winton Blount Loop","city":"Montgomery","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Tucker JR., Douglas, Ray offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Tucker JR., Douglas, Ray use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Tucker JR., Douglas, Ray have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Tucker JR., Douglas, Ray invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Tucker JR., Douglas, Ray?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Tucker JR., Douglas, Ray get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Tucker JR., Douglas, Ray?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}