# TCFG Investment Advisors, LLC

> TCFG Investment Advisors, LLC is an SEC-registered investment advisory firm in Laguna Niguel, CA, registered since 2013, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated September 28, 2026.

- CRD: 166606
- Filed as: TCFG INVESTMENT ADVISORS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Laguna Niguel, CA
- Filing period: October 2026
- Form ADV filing dated: September 28, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/166606
- AdvisorCensus page: https://advisorcensus.com/firm/tcfg-investment-advisors-llc-laguna-niguel-ca-166606

## Quick answers

**How is TCFG Investment Advisors, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), TCFG Investment Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**How much does TCFG Investment Advisors, LLC charge?**
Its Form ADV Part 2A brochure dated April 29, 2026 states: Hourly rate: $175 to $250 an hour (plan or consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is TCFG Investment Advisors, LLC located?**
TCFG Investment Advisors, LLC's principal office is in Laguna Niguel, CA, according to its Form ADV; the October 2026 filing also lists 14 other offices (Schedule D, Section 1.F).

**Is TCFG Investment Advisors, LLC registered with the SEC or a state?**
TCFG Investment Advisors, LLC is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 166606.

**How much does TCFG Investment Advisors, LLC manage?**
TCFG Investment Advisors, LLC reports $639,411,822 in regulatory assets under management in its Form ADV filing dated September 28, 2026 (100% discretionary).

**How have TCFG Investment Advisors, LLC's assets and staff changed since 2021?**
In the Form ADV data for TCFG Investment Advisors, LLC: Regulatory assets under management: $459,678,474 in the October 2021 data and $639,411,822 in the October 2026 data, up 39%. Total employees: 30 in October 2021 and 27 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does TCFG Investment Advisors, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (2,261); high net worth individuals (73).

**Which custodians does TCFG Investment Advisors, LLC use?**
TCFG Investment Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Pershing LLC as custodians holding 10% or more of its separately managed account assets.

**Does TCFG Investment Advisors, LLC report any disciplinary disclosures?**
Reports 7 disclosure items on Form ADV Item 11: yes answers to 5 questions about regulatory matters and 2 questions about civil court matters (11.C(1), 11.C(2), 11.C(5), 11.E(1), 11.E(2), 11.H(1)(a), 11.H(1)(b)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/166606

**What changed in TCFG Investment Advisors, LLC's recent Form ADV filings?**
In the September 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Fees and minimums (Form ADV Part 2A brochure dated April 29, 2026)

- Hourly rate: $175 to $250 an hour (plan or consulting services)

> Fees can be set as a flat fee ($500 - $10 ,000) or based on an hourly ( $175 - $250 /hour) charge.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Pershing LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $639,411,822
- Discretionary: $639,411,822
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 2,261 | $407,508,505 |
| High net worth individuals | 73 | $231,903,317 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2013 (13 years)
- Employees: 27 total, 25 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AK, AL, AZ, CA, CO, DC, DE, FL, GA, IA, ID, IL, IN, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, VT, WA, WI
- Disclosures (Item 11): Reports 7 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
- 11.E(1): Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
- 11.H(1)(a): In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?
- 11.H(1)(b): Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/166606

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Anaheim Hills, CA
- Basalt, CO
- Brookfield, WI
- Calabasas, CA
- Camarillo, CA
- Canton, OH
- Corpus Christi, TX
- Escondido, CA
- Green Bay, WI
- Las Vegas, NV
- Mission Viejo, CA
- Omaha, NE
- Redondo Beach, CA
- Woodland Hills, CA

### Websites listed on Form ADV (Item 1.I)
- [tcfgcompanies.com](https://tcfgcompanies.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $459,678,474 | 30 | July 29, 2021 |
| October 2022 | $540,144,981 | 35 | March 31, 2022 |
| October 2023 | $450,525,673 | 33 | September 5, 2023 |
| October 2024 | $506,774,284 | 25 | September 23, 2024 |
| October 2025 | $575,111,609 | 27 | March 31, 2025 |
| October 2026 | $639,411,822 | 27 | September 28, 2026 |

Regulatory assets under management: $459,678,474 in the October 2021 data and $639,411,822 in the October 2026 data, up 39%.
Total employees: 30 in October 2021 and 27 in October 2026.

## Changes in the filing (last 12 months)

### September 2026
- Updated its list of owners and control persons (Schedule A).

### April 2026
- Regulatory assets under management went from $575,111,609 to $639,411,822 (+11%).
- No longer lists an office in Manitowoc, WI.
- No longer lists an office in Willow :park, TX.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. TCFG Investment Advisors, LLC (CRD 166606): Form ADV filing data as of October 2026.