Tci Financial Planning, Inc. (Tucson)


Tci Financial Planning, Inc. is a large advisory firm based in Tucson. It manages $556.36 million of regulatory assets for 2,247 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Arizona, California, Florida, and 4 other states.

Tci Financial Planning provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Tci Financial Planning: assets under management

The assets under management (AUM) of Tci Financial Planning, Inc. is $556.36 million. The firm's AUM has grown by 77% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $554.79 million in discretionary accounts and $1.57 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $249.9 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $58.08 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Tci Financial Planning, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Tci Financial Planning, Inc.

Robert Clarkson Swift has been acting as President since 1 Jan 1990. Kenneth Gerhard Riebe joined the executive team most recently as the Vice President.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Robert Clarkson Swift President 1 Jan 1990 50% - 75% 1212588
Lisa Y Swift Shareholder 1 Jan 2001 50% - 75% 2557136
Lisa Yvonne Swift Shareholder 1 Jan 2001 50% - 75% 2557136
Kenneth Gerhard Riebe Vice president 1 Jan 2005 Other 1770775
John Joseph Stephens Vice president 1 Jan 2005 25% - 50% 4535774
Lisa Yvonne Swift Chief compliance officer 1 Jan 2005 Other 2557136

Based in Tucson

The principal office where Tci Financial Planning, Inc. performs its advisory services is located at 1853 N. Kolb, Tucson, AZ 85715, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 520-733-1477 or by fax 520-733-1488. The normal business hours are 7:30am-4:30pm on Other. You can find more information about the New York firm at www.tcifp.com.