The Tuckerman Group LLC (Rye Brook)

The Tuckerman Group LLC is a large advisory firm based in Rye Brook. It manages $7.29 billion of regulatory assets for 29 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of Illinois, Massachusetts, and New York.

The Tuckerman Group provides portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

The Tuckerman Group: assets under management

The assets under management (AUM) of The Tuckerman Group LLC is $7.29 billion. The firm's AUM has grown by 603% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $7.02 billion in discretionary accounts and $270.27 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $250.73 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $270.27 million.

The Tuckerman Group has custody of $1.44 billion in cash and securities for 6 clients in total and acts as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay The Tuckerman Group LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at The Tuckerman Group LLC

Charles James Lauckhardt has been acting as President since 1 Apr 1999. Inc. State Street Global Advisors joined the executive team most recently as the Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Dockside Partners Llc	Member	1 Apr 1999	25% - 50%	13-4042076
Charles James Lauckhardt	Director	1 Apr 1999	Other	4380842
Glen Scot Weisberg	Vice president	1 Apr 1999	Other	4380846
John Snow	Director	1 Apr 1999	Other	2601101
State Street Global Alliance Llc	Member	1 Jul 2000	50% - 75%	52-2289770
Glen Scot Weisberg	Director	1 Nov 2001	Other	4380846
Glen Scot Weisberg	Director	1 Nov 2002	Other	4380846
Joseph Henry Cromarty	Director	1 Jul 2003	Other	2351673
Shawn C.D. Johnson	Director	1 Jul 2003	Other	5610318
Joseph Michael Lyons	Director	1 Oct 2004	Other	2652315
Steven De Bara	Vp/chief compliance officer	1 Jan 2005	Other	4950021
Stephen Hathaway Marshall	Director	1 Nov 2008	Other	2723358
Jared Alvah Chase	Director	1 Nov 2008	Other	2356434
Inc. State Street Global Advisors	Member	1 Jul 2012	75% - 100%	061313175

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
State Street Corporation	Sh ar eh ol de r	1 Jun 1990	75% - 100%	04-2456637
Inc. Limetree Investments	Me mb er	1 Jul 2000	25% - 50%	134147037
Abp	Sh ar eh ol de r	1 Jul 2000	75% - 100%	046288081
Inc. State Street Global Advisors	Me mb er	1 Jul 2000	75% - 100%	061313175

Based in Rye Brook

The principal office where The Tuckerman Group LLC performs its advisory services is located at 4 International Drive, Rye Brook, NY 10573, which is also the mailing address of the firm. An additional office of the firm is in Boston, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 914-701-4400 or by fax 914-701-4419. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday.