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Diron Tappin

Tcp Asset Management, LLC
23 Years of Experience
Camdenton, MO
BrokerSells Insurance
View SEC Summary
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Diron Tappin is a registered investment advisor at Tcp Asset Management, LLC, based in Camdenton, MO, with 23 years of industry experience. Diron is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Education Planning, Estate Planning, and 7 more. Their firm serves 2,221 clients with $1.2B in assets under management.

Tcp Asset Management, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25 advisors
Number of Clients
2,221 clients
Average Client Portfolio
$533K average
Assets Under Management
$1.2B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum annual fee is 2.00% for all assets. Fees are generally negotiable. Additional fees apply for specific third-party models or sub-advised portfolios (e.g., 0.15% to 0.40%).

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Camdenton, MO

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Diron is a partner in Golden Clouds LLC, a youth sports organization, and a wealth advisor at TCP Asset Management. He is also a licensed agent for non-variable insurance products, dedicating minimal time to this investment-related activity.

Employment History
Current Registrations
Tcp Asset Management, LLC
September 2021 - Present · 5 yrs 1 mo
United Planners' Financial Services of America a Limited PartnerBroker
August 2021 - Present · 5 yrs 2 mos
Previous Registrations
Foreside Fund Services, LLCBroker
February 2019 - August 2021 · 2 yrs 6 mos
Axio Financial LLCBroker
February 2018 - November 2018 · 9 mos
M. S. Howells & CO.Broker
February 2016 - February 2018 · 2 yrs
Foreside Fund Services, LLCBroker
September 2015 - March 2016 · 6 mos
M. S. Howells & CO.Broker
August 2012 - September 2015 · 3 yrs 1 mo
Gaineswood Investment Management, INC.
October 2011 - August 2012 · 10 mos
Garp Research & Securities Company
October 2011 - August 2012 · 10 mos
Garp Research & Securities CompanyBroker
October 2008 - November 2010 · 2 yrs 1 mo
American Technology Research, INC.Broker
June 2007 - October 2008 · 1 yr 4 mos
M. S. Howells & CO.Broker
April 2004 - June 2007 · 3 yrs 2 mos
Mdb Capital Group LLCBroker
December 2003 - May 2004 · 5 mos
Compak Securities, INC.Broker
November 2003 - January 2004 · 2 mos
Compak Asset Management
March 2003 - December 2003 · 9 mos
Morgan Stanley
January 2002 - January 2003 · 1 yr
Morgan Stanley Dw INC.Broker
August 2001 - January 2003 · 1 yr 5 mos
State Registrations14 states
AZCACTFLGAMAMEMOMSNHNJNYVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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