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TCFG INVESTMENT ADVISORS, LLC

CRD No. 166606 | California | Insurance Adviser, RIA/Wealth Manager | Last Form ADV Filed on 31 Mar 2025 | Registration: SEC
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TCFG Investment Advisors, LLC is an SEC-registered investment advisor based in Laguna Niguel, California. The firm was established in December 2012 and is primarily owned by Certus Financial Group, LLC, with Rick Roberts serving as the President and CEO since December 2013. TCFG offers a range of investment advisory services through its advisors, focusing on individual portfolio management, model portfolio management, financial planning, and consulting services. The firm manages assets totaling $506,774,284 as of December 31, 2023, operating on a discretionary basis. Clients can choose to have their accounts managed on either a discretionary or non-discretionary basis, with the option to impose restrictions on investments. TCFG has a fiduciary duty to act in the best interests of its clients and conducts annual reviews of client portfolios to ensure alignment with their goals and objectives. Additionally, TCFG provides financial planning services covering various aspects such as personal finance, tax and cash flow analysis, investments, insurance, retirement planning, estate planning, and more. The firm also offers consulting services for specific financial concerns and can recommend third-party money managers for clients seeking professional portfolio management services.

Identifying Information
CRD No.
166606
Latest Filing
31 Mar 2025
SEC No.
801-77596
Form of Organization
Limited Liability Company
Legal Domicile
DE, United States
Registration
SEC
Contact Details
Street Address
28202 CABOT RD, SUITE 300
City
LAGUNA NIGUEL
Postal Code
92677
Location
California, United States
Phone
000-000-0000
Company Information
Large Advisory Firm - AUM > $100m or (AUM > $90m & registered with SEC)
Client Type Type Clients AUM
Individuals (other than high net worth individuals) 000 $0,000,000,000
High net worth individuals 000 $0,000,000,000
Client Type with highest AUM
Individuals (other than high net worth individuals)
Proportion of Hedge Funds (by Gross Asset Value)
0%
Last change in no. of employees in an advisory capacity
4 %
Last change in AUM (Annualized)
13 %
Total Reg. AUM $575,111,609
Discretionary $575,111,609
Non-Discretionary $0
$575.1M
Employee Strength 27
27
No. of Accounts 2,344
Discretionary 2,344
Non-Discretionary 0
2.344K

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Direct Owners
Tesla, Deetra, Marie
CHIEF COMPLIANCE OFFICER (less than 5%)
ROBERTS, RICHARD, JAMES
PRESIDENT (less than 5%)
JOHN SMITH
MANAGING DIRECTOR (More than 10% but less than 25%)
Indirect Owners
ROBERTS, RICHARD, JAMES
ELECTED MANAGER (75% or more)

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