Tcg Naples, LLC (Naples)

Tcg Naples, LLC is a large advisory firm based in Naples. It manages $131.2 million of regulatory assets for 48 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdiction of Florida.

Tcg Naples provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Tcg Naples: assets under management

The assets under management (AUM) of Tcg Naples, LLC is $131.2 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 10% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $131.2 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.73 million each.

Tcg Naples has custody of $102.37 million in cash and securities for 9 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 50% of the total AUM. The second-largest asset type is state and local bonds, which make up 24% of the firm’s portfolio. Investments in government bonds form 21% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Tcg Naples, LLC for their services and products based on a percentage of assets under management. 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.

What kind of clients Tcg Naples serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Tcg Naples is high net worth individuals with 41 clients and $129.27 million of assets under management. Among the 11 most similar advisory firms, Tcg Naples has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $131.2 million for 48 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Tcg Naples doesn't advise any private funds.

Careers at Tcg Naples, LLC

The company employs 3 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Blaine Michael Ferguson	Managing member	1 Jan 2013	Other	4799223
William Nick Beynon	Managing member	1 Jan 2013	Other	2849087
George Allen Wilson	Managing member	1 Jan 2013	50% - 75%	5269550
Cwa Asset Management Group	Owner	1 Jan 2013	50% - 75%	158940
Jeffrey Lance Sutton	Chief compliance officer	1 Mar 2018	Other	4244836

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Blaine Michael Ferguson	Managing member	1 Aug 2011	25% - 50%	4799223
William Nick Beynon	Managing member	1 Aug 2011	25% - 50%	2849087
Fundamental Global Investors Llc	Owner	1 Jan 2013	50% - 75%	45-5182330
Daniel Kyle Cerminara	Owner	1 Jan 2013	25% - 50%	4202026
Lewis Mckay Johnson	Owner	1 Jan 2013	25% - 50%	6095890
Joseph Hugh Moglia	Owner	1 Jan 2013	25% - 50%	1302369

Based in Naples

The principal office where Tcg Naples, LLC performs its advisory services is located at 9130 Galleria Court, Naples, FL 34109, 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 239-434-7434 or by fax 239-434-7494. The normal business hours are 8:00am - 5:00pm on Monday - Friday.