Wealth manager, wrap-program sponsor · Laguna Niguel, CA
Tcfg Investment Advisors, LLC
SEC-registered investment adviser · CRD 166606 · SEC 801-77596
At a glance
Tcfg Investment Advisors, LLC is an SEC-registered investment adviser based in Laguna Niguel, California, with $639 million in regulatory assets under management as of its Form ADV filed September 28, 2026. Its largest client group by assets is individuals, and it reports 2,334 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 2,346th of 8,915 wealth managers and 6,872nd of 17,210 SEC-registered advisers by assets.
Main office 949-365-5830tcfgcompanies.comAs filed on Form ADV
- Regulatory AUM
- $639M
- Rank among wealth managers
- #2,346 of 8,915
- Rank among all SEC RIAs
- #6,872 of 17,210
- Rank in California
- #793 of 1,873
- Individual clients
- 2,334
- High-net-worth clients
- 73
- Accounts
- 2,171
- Discretionary
- 100% of AUM
- Employees
- 27
- Advisory staff
- 25
- Offices
- 24
Owners and executives on its Form ADV
- Richard J. RobertsPresident
- Carl L. HuntleyChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Tcfg Investment Advisors, LLC is a hybrid RIA: 22 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Tcfg Wealth Management, LLC.
- Tcfg Wealth Management, LLC ↗CRD 164153
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, May 2026
Its Form ADV brochure (filed April 2026) names Tcfg Wealth Management as the broker-dealer its advisers are registered with.
OTHER COMPENSATION Some management personnel and Advisors of the Firm are licensed as registered representatives of our affiliated broker-dealer, TCFG Wealth Management, LLC (“TCFG Wealth”) as outlined under
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 2,261 | $408M | 64% |
| High-net-worth individuals | 73 | $232M | 36% |
Disciplinary disclosures
Tcfg Investment Advisors, LLC answers yes to 7 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
- Hourly charges
Form ADV and brochures on the SEC’s adviser search ↗tcfgcompanies.com ↗
AtlasMembers
The full record on Tcfg Investment Advisors, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 4,760 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Tcfg Investment Advisors, LLC manage?
Tcfg Investment Advisors, LLC reports $639 million in regulatory assets under management across 2,171 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 28, 2026.
What kind of firm is Tcfg Investment Advisors, LLC?
Tcfg Investment Advisors, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Tcfg Investment Advisors, LLC’s clients?
By assets, its largest client types are individuals ($408 million, 2,261 clients); high-net-worth individuals ($232 million, 73 clients).
Does Tcfg Investment Advisors, LLC have any disciplinary history?
Tcfg Investment Advisors, LLC answers yes to 7 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Tcfg Investment Advisors, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-28), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →