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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

TUVE INVESTMENT MANAGEMENT, INC.

CRD 226702

WATERLOO, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:129af3e7-357a-a2b0-3b5a-64f09c590298

Data as of Apr 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 11, 2015 to Apr 20, 2026
21 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $148MItem 5.F on the latest filing (2026-04-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $148M
Private client RAUM: $148MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $73.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,372
Individual clients: 467
High net worth clients: 56
Custody, client assets: $112M
SEC number: 801-100395
CRD: 226702
Filings on the tape: 21
First filed: Jun 11, 2015
Latest filed: Apr 20, 2026
Organised: Corporation, IA
Website: tuveinvestments.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JOHN STANLEY TUVE	Certified Financial Planner	WATERLOO, IA	0	42	2	no
STANLEY JOHN TUVE	n/a	WATERLOO, IA	0	12	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
TUVE, JOHN, STANLEY	President	E	yes	07/2015	Jun 11, 2015	Mar 25, 2024
TUVE, STANLEY, JOHN	CHIEF COMPLIANCE OFFICER	Na	no	07/2015	Jun 11, 2015	Mar 25, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 11 of 13

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 20, 2026	$148M	$148M	6	2	0	n/a	n/a
2024	Mar 31, 2025	$133M	$133M	6	2	0	n/a	n/a
2023	Mar 25, 2024	$118M	$118M	6	2	0	n/a	n/a
2022	Mar 21, 2023	$111M	$111M	6	2	0	n/a	n/a
2021	Mar 24, 2022	$121M	$121M	6	2	0	n/a	n/a
2020	Mar 12, 2021	$113M	$113M	4	2	0	n/a	n/a
2019	Feb 28, 2020	$103M	$103M	4	2	0	n/a	n/a
2018	Mar 4, 2019	$97.9M	$97.9M	4	2	0	n/a	n/a
2017	Mar 2, 2018	$112M	$112M	5	1	0	n/a	n/a
2016	Mar 21, 2017	$107M	$107M	9	1	n/a	n/a	n/a
2015	Mar 9, 2016	$104M	$104M	5	1	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$148M	$133M	10.8%	$111M	10.1%	6	6	0	0

Relationships

Registered with (2)

← JOHN STANLEY TUVEAdvisorregistration: previous registration
Aug 7, 2015 to Dec 31, 2025factForm ADV
← STANLEY JOHN TUVEAdvisorregistration: previous registration
Jan 30, 2019 to Dec 31, 2025factForm ADV

Controls (1)

← TUVE, JOHN, STANLEYOwnerPRESIDENT, ownership code E, individual
Jun 11, 2015 to Mar 25, 2024factForm ADV

Owns (1)

← TUVE, STANLEY, JOHNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 11, 2015 to Mar 25, 2024factForm ADV

Dated events

Occurred
Jun 11, 2015
First Form ADV filing
Tuve Investments, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:129af3e7-357a-a2b0-3b5a-64f09c590298
First observed: Jun 11, 2015
Last observed: Apr 20, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

TUVE INVESTMENT MANAGEMENT, INC.

CRD 226702

WATERLOO, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:129af3e7-357a-a2b0-3b5a-64f09c590298

Data as of Apr 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOHN STANLEY TUVE

Certified Financial Planner

WATERLOO, IA

STANLEY JOHN TUVE

n/a

WATERLOO, IA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

TUVE, JOHN, STANLEY

President

yes

07/2015

Jun 11, 2015

Mar 25, 2024

TUVE, STANLEY, JOHN

CHIEF COMPLIANCE OFFICER

07/2015

Jun 11, 2015

Mar 25, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 20, 2026

$148M

n/a

2024

Mar 31, 2025

$133M

n/a

2023

Mar 25, 2024

$118M

n/a

2022

Mar 21, 2023

$111M

n/a

2021

Mar 24, 2022

$121M

n/a

2020

Mar 12, 2021

$113M

n/a

2019

Feb 28, 2020

$103M

n/a

2018

Mar 4, 2019

$97.9M

n/a

2017

Mar 2, 2018

$112M

n/a

2016

Mar 21, 2017

$107M

n/a

2015

Mar 9, 2016

$104M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$148M

$133M

10.8%

$111M

10.1%