TUCKER FINANCIAL GROUP

Legal name: TUCKER JR., DOUGLAS, RAY

CRD 298292File 801-118704

APPROVED

Retail clients

Custody

Filing as of Mar 16, 2026

Feed vintage Oct 1, 2026

Regulatory AUM

$339.0M

Below cohort median (national)

Discretionary AUM

$339.0M

Clients

2,436

3,950 accounts

Employees

Below cohort median in AL

Identity & registration

ADV Item 1

Organization form: Sole Proprietorship
Firm type: Registered
SEC region: ARO
Registration date: May 13, 2020
Principal office: 254 WINTON BLOUNT LOOP, MONTGOMERY, AL, 36117
Phone: 334-277-0500
Website: HTTPS://WWW.TUCKERFINANCIAL.NET

Assets & accounts

ADV Item 5F

Total regulatory AUM: $339.0M
Discretionary AUM: $339.0M
Non-discretionary AUM: $0
Discretionary accounts: 3,950
Non-discretionary accounts: 0
Total accounts: 3,950
AUM per client: $139K

Clients by type

ADV Item 5D

Client type	Clients	AUM
Other	Fewer than 5	$2.8M
Charitable organizations	Fewer than 5	$1.6M
High net worth individuals	62	$93.5M
Pension and profit sharing plans	7	$15.5M
Individuals (other than high net worth individuals)	2,367	$225.5M

Compensation & activities

ADV Items 5E, 5G

Compensation

Fixed fees
A percentage of assets under your management

Advisory activities

Financial planning services
Portfolio management for individuals and/or small businesses

Custody

ADV Item 9

Firm Custody Cash: Yes
Firm Custody Assets: No
Firm Custody Clients: No
Firm Custody Securities: Yes
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: No

Disclosure events

ADV Item 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To	Change
Apr 1, 2026	Employees	5	3	decreased by2
Apr 1, 2026	Clients	1,982	2,436	increased by454
Apr 1, 2026	AUM	$271,585,954	$339,025,322	increased by$67,439,368
Apr 1, 2026	Accounts	4,430	3,950	decreased by480
May 1, 2025 vs Oct 1, 2022	Employees	2	5	increased by3
May 1, 2025 vs Oct 1, 2022	Clients	2,040	1,982	decreased by58
May 1, 2025 vs Oct 1, 2022	AUM	$199,905,708	$271,585,954	increased by$71,680,246
May 1, 2025 vs Oct 1, 2022	Accounts	2,642	4,430	increased by1,788
Apr 1, 2022	Employees	3	2	decreased by1
Apr 1, 2022	Clients	1,517	2,040	increased by523
Apr 1, 2022	AUM	$162,467,528	$199,905,708	increased by$37,438,180
Apr 1, 2022	Accounts	2,230	2,642	increased by412
Apr 1, 2021	Registration	—	APPROVED

On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.

See plans that list “TUCKER FINANCIAL” as a service provider on 5500mcp →

Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“TUCKER FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.