Tcfg Investment Advisors, LLC

Registered investment adviser · Laguna Niguel, CA · CRD #166606

Form ADV data as of 2026-09-01

Regulatory assets

$639.4 million

Total accounts

2,171

Employees

Disclosure events

Firm details

Website: https://www.tcfgcompanies.com
Telephone: 949-365-5830
SEC file number: 801-77596
Most recent Form ADV filing: 2026-08-24
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 7 disclosure questions answered Yes, covering 7 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a false statement or omission
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
A self-regulatory organization found a false statement or omission
A self-regulatory organization found a violation of its rules
A court enjoined the firm in connection with investment-related activity (past 10 years)
A court found involvement in a violation of investment-related statutes or regulations

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$639.4 million
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$639.4 million
Discretionary accounts	2,171
Non-discretionary accounts	0
Total accounts	2,171
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	27
Employees performing investment advisory functions (including research)	25
Employees who are registered representatives of a broker-dealer	22
Employees registered as investment adviser representatives with a state	0
Employees registered as IARs for another investment adviser	27
Employees who are licensed insurance agents	25
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under managementHourly charges

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businesses

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerInsurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	2,261	$407.5 million
High net worth individuals	73	$231.9 million