Tcfg Investment Advisors, LLC

CRD#166606
Investment Advisor Firm

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Learn more about Tcfg Investment Advisors, LLC

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Tcfg Investment Advisors, LLC is located at 28202 Cabot Rd, Laguna Niguel, CA. The firm employs 24 financial advisors to manage client portfolios and provide financial guidance. Tcfg Investment Advisors, LLC is not a registered broker-dealer.

    Tcfg Investment Advisors, LLC oversees $506.8 million in assets under management across 2,441 accounts, all of which are discretionary. Over the past year, the firm has provided financial planning services to between 1 and 10 clients. The services offered include financial planning services and portfolio management for individuals and small businesses. The firm caters to retail investors, high net worth investors, and pension plans, with retail investors being the largest client type by accounts. The fee structure at Tcfg Investment Advisors, LLC includes asset-based and hourly fees. The firm has 2 high net worth clients and maintains affiliations with a broker-dealer or securities dealer and an insurance company or agency.

    Tcfg Investment Advisors, LLC is registered in the states of Alabama, Alaska, Arizona, California, Colorado, Delaware, District of Columbia, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, and Wisconsin.

    Assets Under Management

    $506.8 million

    Number of Advisors

    24

    Disclosures

    No

    Office Location

    28202 Cabot Rd
    Laguna Niguel, CA 92677

    Tcfg Investment Advisors, LLC by the Numbers

    Total Assets Under Management

    $506.8 million

    National Average: $8.6 billion
    Total Number of Employees

    25

    National Average: 64
    Total Number of Accounts

    2,441

    National Average: 375,227
    Average Account Size

    $207.6 thousand

    National Average: $23.0 thousand
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    Products and Services

    Financial services provided by Tcfg Investment Advisors, LLC can include financial planning services and portfolio management for individuals and small businesses. In the past fiscal year, Tcfg Investment Advisors, LLC provided financial planning services to 45301 of its customers. The Company is not involved in selling products or offering services other than investment advice to its investment advisory accounts.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

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    Fee Structure

    Fees for financial advisory services usually are based on the type of services offered. Fees charged by Tcfg Investment Advisors, LLC likely consist of some combination of the following fee types: asset-based or hourly. The company does participate in a wrap fee program, in which the company offers a bundle of services for a comprehensive fee.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 21% of firms

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    Unavailable

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 32% of firms that offer this fee type

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The firm caters to retail investors, high net worth investors, and pension plans. Out of its 3 clients, Tcfg Investment Advisors, LLC's largest client type by number of accounts is retail investors, although it also manages money for 2 high-net-worth individuals. The SEC defines a high-net-worth individual as an investor who has at least $750,000 in AUM or a net worth of more than $1,50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 0.08%
    • Other Individuals - 99.29%
    • Corporations - 0.63%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Tcfg Investment Advisors, LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Tcfg Investment Advisors, LLC

    Don Dumas
    Laguna Niguel, CA
    Robert Milan
    Canton, OH
    Tommy Fausett
    Laguna Niguel, CA
    Michael Halla
    Manitowoc, WI
    Michael Herlevi
    Laguna Niguel, CA
    Steven King
    Laguna Niguel, CA
    Alysia Lindberg
    Camarillo, CA
    Willy Tan
    La Habra, CA
    Matthew Seem
    Laguna Niguel, CA

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