Paladin Research Report For:
Diron Tappin
TCP Asset Management
About Diron Tappin
Diron Tappin is a Wealth Manager at TCP Asset Management. Diron joined TCP to fulfill his vision of providing comprehensive, independent, transparent financial advice to family, friends, other financial professionals, and business owners. Diron has been in the financial services industry for over 20 years and has held a variety of positions in on Wall Street that give him a keen eye for combining clients needs with modern asset management concepts. He utilizes the process that has been developed at TCP to provide clients with a dynamic and adaptable plan to work towards the goals of financial independence, retirement, risk management, estate planning and hopefully peace of mind. Diron has a bachelor's degree from The University of Northern Colorado. He was born in New York, raised in Hawaii, he has lived in Scottsdale, Arizona since 2004 with his wife, Stacey, and son Cole. When he is not at work you will find Diron coaching football locally with the Scottsdale Outlaws youth program or at Desert Mountain High School, Go Wolves!
See DisclosuresGeneral Information
Firm Start Year
- 2017
No. of Employees
- 20-49
CRD#
- 4415868
Firm CRD#
- 2866037
Name of Broker/Dealer
- United Planners
Name of Custodial Firm
- TD Ameritrade
Years of Experience in Financial Services
- 20
Number of Years with Current Firm
- 1
Work Experience
- Diron Tappin began his career on Wall Street with Morgan Stanley in 2001. Over the last 20 years Diron has had deep experience in the financial services business holding key roles in research, trading, hedge fund formation, Exchange Traded Funds (ETFs), advisor compliance & administration. This has given him an inside look at the industry working with countless advisors and asset managers over the years.
Work with the following types of clients
- Individual Investors, Non-Profit Organizations, Businesses
Advisory Services Provided
- Investment Advice & Management, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Financial Advice & Consulting
Compliance
Registered Investment Advisor
- Yes
Registered Representative
- Yes
Investment Advisor Representative
- Yes
Acknowledged fiduciary
- Yes
Compliance Disclosures in Last 5 years
- Have a clean record
Criminal Disclosures in Last 5 years
- Have a clean record
Firm Information
Firm's Number of Clients
- 1200
Firm's Number of Planning Clients
- 1000
Firm's Number of Managed Clients
- 1000
Assets Managed by Firm
- $500,000,000
Advisor's Number of Clients
- 1200
Advisor's Number of Managed Clients
- 1100
Advisor's Number of Planning Clients
- 1000
Total Assets Under Management by Advisor
- $500,000,000
Compensation and Fees
Minimum Portfolio Size for New Managed Accounts
- $500,000
Compensation Methods
- Based on Assets, Hourly, Flat Fee
Education
Bachelor -
University of Northern Colorado
08/20/1994 -05/12/1999
Disclosures
PaladinRegistry.com provides referrals to financial professionals. PaladinRegistry.com is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.
https://tcpasset.com/contact
Additional Detailed Disclosures
https://www.paladinregistry.com/disclosure/1890202/paladinregistry-TCP-Asset-Management-detailed-disclosure.html
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