Tcfg Investment Advisors, LLC (Laguna Niguel)

Name: Tcfg Investment Advisors, LLC
Address: 28202 Cabot Rd, Laguna Niguel, CA, 92677
Telephone: 949-365-5830

Tcfg Investment Advisors, LLC is a large advisory firm based in Laguna Niguel. It manages $444.26 million of regulatory assets for 2,874 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Arizona, California, Colorado, and 27 other states.

Tcfg Investment Advisors provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Tcfg Investment Advisors: assets under management

The assets under management (AUM) of Tcfg Investment Advisors, LLC is $444.26 million. The firm's AUM has grown by 344% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $391.67 million in discretionary accounts and $52.59 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $185.1 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $69.38 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 48% of the total AUM. The second-largest asset type is exchange traded securities, which make up 33% of the firm’s portfolio. Investments in cash and cash equivalents form 12% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Tcfg Investment Advisors, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Richard James Roberts serves?

The only and largest group of clients of Richard James Roberts is individuals with 2,874 clients and $444.26 million of assets under management. Among the 11 most similar advisory firms, Tcfg Investment Advisors has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $444.26 million for 2,874 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.

Tcfg Investment Advisors doesn't advise any private funds.

Careers at Tcfg Investment Advisors, LLC

The company employs 20 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 12 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.

Richard James Roberts has been acting as President since 1 Dec 2013. Thomas John Wolf joined the executive team most recently as the President/Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Llc Certus Financial Group	Managing member	1 Jan 2013	75% - 100%	45-4292846
Richard James Roberts	Ceo	1 Jan 2013	Other	2145874
Todd Alan Sweet	Chief compliance officer	1 Jan 2013	Other	4549871
Thomas John Wolf	President/chief compliance officer	1 Nov 2013	Other	1323566
Richard James Roberts	President/chief compliance officer	1 Dec 2013	Other	2145874

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Richard James Roberts	Elected manager	1 Jan 2012	75% - 100%	2145874
Llc Certus Financial Group	Managing member	1 Jan 2012	75% - 100%	45-4292846

Based in Laguna Niguel

The principal office where Tcfg Investment Advisors, LLC performs its advisory services is located at 28202 Cabot Rd, Laguna Niguel, CA 92677 The mailing address of the firm is Na, Na, . It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 949-365-5830 or by fax 949-460-4525. The normal business hours are 8:00am-5:00pm on Monday - Friday. You can find more information about the New York firm at certus-financial-group.com.