DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Michael James Smith Tucker
Feed of 09/14/2026
Also filed as Mike Tucker
At current firm
2 y
since Dec 11, 2023
In the industry
28 y
since Dec 10, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Simplicity Wealth mixed wealth currentsince Dec 11, 2023 · Summit, Nj
- Tlg Advisors, Inc. BD affiliatedFeb 27, 2018 to Aug 20, 2018 · Stephenville, Tx
- Horter Investment Management, LLC independent RIAJun 20, 2016 to Feb 23, 2018 · Stephenville, Tx
- Concourse Financial Group Advisors formerMay 27, 2008 to Jun 17, 2016 · Forth Worth, Tx
- Voya Financial Advisors, Inc. BD affiliatedFeb 10, 2006 to Mar 4, 2006 · Ft Worth, Tx
Moves
a registration end followed by a registration begin elsewhere
- Tlg Advisors, Inc. to Simplicity Wealthleft Aug 20, 2018, registered Dec 11, 2023 (1939 days) · Affiliated broker-dealer or bank to independent RIA
- Horter Investment Management, LLC to Tlg Advisors, Inc.left Feb 23, 2018, registered Feb 27, 2018 (4 days) · Other
- Concourse Financial Group Advisors to Horter Investment Management, LLCleft Jun 17, 2016, registered Jun 20, 2016 (3 days) · Other
- Voya Financial Advisors, Inc. to Concourse Financial Group Advisorsleft Mar 4, 2006, registered May 27, 2008 (815 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wealth manager with institutional or fund businessderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address