TCFG INVESTMENT ADVISORS, LLC
Adviser information for TCFG INVESTMENT ADVISORS, LLC last updated from Form ADV on March 28th, 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 | 25 |
|---|---|
| Investment Advisory/Research | 24 |
| Registered Broker-Dealer Representatives | 22 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 11 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,441 | $506.8M |
| Non-Discretionary | 0 | $0 |
| Total | 2,441 | $506.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,510 | $494.0M |
| HNW Individuals | 2 | $3.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 16 | $9.7M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 323.7M |
| Portfolio Manager | 323.7M |
| Both for Same | 323.7M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| TCFG INVESTMENT ADVISORS | TCFG INVESTMENT ADVISORS, LLC |
Identifiers
| SEC RIA File Number | 801-77596 |
|---|---|
| SEC ERA File Number | 801-77596 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 166606 |
| Legal Entity Identifier | None |
Principal Office
28202 CABOT RDSUITE 300
LAGUNA NIGUEL
CA
United States
BY APPT ONLY, 8:00AM-5:00PM
Tel: 949-365-5830, Fax: None
Websites
Chief Compliance Officer
DEETRA TESLA
CHIEF COMPLIANCE OFFICER
28202 CABOT RD
SUITE 300
LAGUNA NIGUEL
CA
United States
Tel:
281-728-7061
D*****@*************M
(Full email address available in API data)
Industry Affiliates
| TCFG INSURACE SOLUTIONS, LLC | Insurance company or agency |
| TCFG WEALTH MANAGEMENT, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CERTUS FINANCIAL GROUP, LLC | Domestic Entity | – | MANAGING MEMBER | 01/2013 | > 75% |
| ROBERTS, RICHARD, JAMES | Individual | CERTUS FINANCIAL GROUP, LLC | ELECTED MANAGER | 01/2012 | > 75% |
| ROBERTS, RICHARD, JAMES | Individual | – | PRESIDENT | 12/2013 | < 5% |
| Tesla, Deetra, Marie | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2023 | < 5% |