SourcingSourcing

TUCKER JR., DOUGLAS, RAY

C45
CRD 298292·SEC 801-118704·MONTGOMERY, AL
AUM
$339.0M
$100M-$500M
Est. Revenue
$3.4M
@ 1% on AUM
Est. EBITDA
$1.0M
@ 30% margin
Est. Deal Value
$8.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
TUCKER JR., DOUGLAS, RAY
CRD
298292
SEC file #
801-118704
EIN
—
DBA names
Tucker Financial Group

Economics

AUM
$339.0M
AUM band
$100M-$500M
AUM trajectory
'21'26
$121.0M → $339.0M▲ +180%
Client mix
Individuals Other2,367
Individuals High Net Worth62
Pension Profit Sharing Plans7

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'21'26
1 advisors → 3 advisors▲ +200%
Primary office
MONTGOMERY AL
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/16/2026
ADV-W filed at
—
Website
tuckerfinancial.net

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
TUCKER, DOUGLAS, RAY
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
TUCKER, DOUGLAS, RAY
AUMAN, BENJAMIN, LAMAR
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
TUCKERFINANCIAL.NET
Rdap Domain Creation Date
2016-07-29T16:32:43Z
Rdap Firm Age Years
10
Rdap Firm Age Band
10-20y
Rdap Registrar
Tucows Domains Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.222
Soi Zip Pct 200k Plus
0.0654
Soi Zip Returns 200k Plus
1,500
Soi Zip Total AGI
1,969,372
Fdic Zip Total Deposits
23,615,151,000
Fdic Zip Branch Count
536
Fdic Zip Top Banks
Regions Bank
River Bank & Trust

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fdic Zip Branches Raw
First Alabama BankMontgomery, AL
First Alabama BankMontgomery, AL
Fdic Zip HHI
1113.47
Fdic Zip Top Bank Share Pct
23.18
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-07-29T16:32:43Z
Rdap Domain Last Changed
2026-02-01T00:27:52Z
Rdap Nameservers
Dns1.p07.nsone.netDns2.p07.nsone.netDns3.p07.nsone.netDns4.p07.nsone.net
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI80,817
Returns6,010
Stub 2
AGI214,658
Returns5,830
Stub 3
AGI232,336
Returns3,780
Soi Zip Total Business Income
47,417
Soi Zip Total Cap Gains
93,250
Soi Zip Total Dividends
41,172
Soi Zip Total Returns
22,930
Top Owner CRD
1428708
Trust Company Affiliate
No

People (3)

3
TUCKER, DOUGLAS, RAY
IAR · Direct Owner · 87.5%
1428708
AUMAN, BENJAMIN, LAMAR
IAR · Direct Owner · 17.5%
6977257
DANIEL MARK DEAN
IAR
7283643