TCG ADVISORS, LLC A HUB INTERNATIONAL COMPANY
TCG ADVISORY SERVICES, LLC Legal Name
Adviser information for TCG ADVISORS, LLC A HUB INTERNATIONAL COMPANY last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 50 |
|---|---|
| Investment Advisory/Research | 50 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 50 |
| Licensed Agents of an Insurance Company | 12 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,168 | $5.5B |
| Non-Discretionary | 34 | $1.8B |
| Total | 2,202 | $7.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,340 | $425.1M |
| HNW Individuals | 437 | $2.2B |
| Banking or thrift institutions | <5 | $18.2M |
| Investment companies | 1 | $37,409 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 6 | $5.1M |
| State or municipal gov entities | 363 | $4.5B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 53 | $133.9M |
| Other | <5 | $12.1M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Principal Office
900 S. CAPITAL OF TX HIGHWAYSUITE 350
AUSTIN
TX
United States
Monday - Friday, 9AM-5PM
Tel: 512-600-5390, Fax: 888-989-9247
Chief Compliance Officer
MARIANE LEE
CHIEF COMPLIANCE OFFICER
150 N. RIVERSIDE PLAZA, 17TH FLOOR
CHICAGO
IL
United States
Tel:
917-858-2854
M**********@*******************M
(Full email address available in API data)
Regulatory Contact
SARAH SIMMON
COMPLIANCE OFFICER
300 W BROADWAY, SUITE 200
SUITE 350
COUNCIL BLUFFS
IA
United States
Tel:
712-329-3128
S***********@*******************M
(Full email address available in API data)
Industry Affiliates
| GLOBAL RETIREMENT PARTNERS LLC | Other investment adviser, including financial planners |
| HUB INTERNATIONAL INVESTMENT SERVICES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| HUB INVESTMENT ADVISORS, INC | Other investment adviser, including financial planners |
| MILLENNIUM ADVISORY SERVICES, INC. | Other investment adviser, including financial planners |
| RPA FINANCIAL, LLC | Other investment adviser, including financial planners |
| TAYLOR ADVISORS, INC., A HUB INTERNATIONAL COMPANY | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HAUPTMANN, SCOTT, CHRISTOPHER | Individual | – | EXECUTIVE VICE PRESIDENT, PRESIDENT | 01/2024 | < 5% |
| SOKOLIC, ADAM | Individual | – | DIRECTOR | 12/2022 | < 5% |
| HUB INTERNATIONAL LIMITED | Domestic Entity | – | SOLE SHAREHOLDER | 07/2021 | > 75% |
| HOCKEY INTERMEDIATE INC. | Domestic Entity | HUB INTERNATIONAL LIMITED | SHAREHOLDER | 10/2013 | > 75% |
| HOCKEY PARENT INC. | Domestic Entity | HOCKEY INTERMEDIATE INC. | SHAREHOLDER | 10/2013 | > 75% |
| HOCKEY PARENT HOLDINGS L.P. | Domestic Entity | HOCKEY PARENT INC. | SHAREHOLDER | 10/2013 | > 75% |
| HOCKEY INVESTMENTS L.P. | Domestic Entity | HOCKEY PARENT HOLDINGS L.P. | LIMITED PARTNER | 10/2013 | 50-75% |
| HOCKEY PARENT HOLDINGS GP, LLC | Domestic Entity | HOCKEY PARENT HOLDINGS L.P. | GENERAL PARTNER | 10/2013 | |
| HOCKEY PARENT HOLDINGS L.P. | Domestic Entity | HOCKEY PARENT HOLDINGS GP, LLC | MANAGING MEMBER | 10/2013 | > 75% |
| BIELIK, DENNIS, WALTER | Individual | – | EVP/ MANAGING DIRECTOR, DIRECTOR OF PRIVATE WEALTH | 12/2022 | < 5% |
| LEE, MARIANE, ASHLEY | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2022 | < 5% |
| RODRIGUEZ-KIRK, MELISSA | Individual | – | COO | 11/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed November 13th, 2020 for period ending September 30th, 2020
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| AMERICAN AIRLS GROUP INC | COM | 141 | 12K | – |
| CENOVUS ENERGY INC | COM | 97 | 25K | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 249 | 200 | – |
| COTY INC | COM CL A | 38 | 14K | – |
| ENLINK MIDSTREAM LLC | COM UNIT REP LTD | 38 | 16K | – |
| HUNTINGTON BANCSHARES INC | COM | 92 | 10K | – |
| TUPPERWARE BRANDS CORP | COM | 363 | 18K | – |
| U S WELL SVCS INC | CL A | 8 | 30K | – |