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TUCKER ASSET MANAGEMENT LLC

LITTLETON, CO · CRD 174844 · IAPD ↗ · tuckeram.com · 303-734-1234

$603.6MRegulatory AUM
69Advisory reps
80Employees
0Clients
0Planning clients
0Private funds
39States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
April 2026 — TUCKER ASSET MANAGEMENT LLC shrank from 79 to 69 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
68
April 2026 — TUCKER ASSET MANAGEMENT LLC now reports custody of client assets ($291.2M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
53
April 2025 — TUCKER ASSET MANAGEMENT LLC added office(s): 57 -> 60 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
April 2025 — TUCKER ASSET MANAGEMENT LLC crossed $500M in regulatory AUM ($476.5M -> $640.8M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
53
October 2024 — TUCKER ASSET MANAGEMENT LLC's Item 11 disclosure-reporting entries rose by 4 (7 -> 11).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
63
April 2024 — TUCKER ASSET MANAGEMENT LLC reported RAUM up 29% ($369.4M -> $476.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
76
April 2024 — TUCKER ASSET MANAGEMENT LLC grew from 70 to 78 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.