TCFG INVESTMENT ADVISORS, LLC of LAGUNA NIGUEL, CA is an SEC-registered investment adviser (CRD 166606). Regulatory assets under management: $639.4M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Deetra Marie Tesla | CHIEF COMPLIANCE OFFICER | — |
| Richard James Roberts | ELECTED MANAGER; PRESIDENT | — |
| WOLF THOMAS JOHN | PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| SWEET ROBERT ALAN | CHIEF COMPLIANCE OFFICER | — |
| ROBERTS RICHARD JAMES | CEO; CEO/CHIEF COMPLIANCE OFFICER; ELECTED MANAGER (+2 more) | — |
| Tesla Deetra Marie | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-09-30 | regulatory | THE SEC HAS ALLEGED THE FOLLOWING: FRAUDULENT MISCONDUCT AND BREACH OF FIDUCIARY DUTY BY RICHARD JAMES ROBERTS AND TCFG INVESTMENT ADVISOR, LLC ("TCFG"). THE SEC ALSO ALLEGED ROBERTS USED HIS BROKERDEALER FIRM, TCFG WEALTH MANAGEMENT, LLC ("TCFG WEALTH MANAGEMENT"), TO AID AND ABET THIS MISCONDUCT.… | Final | $100K |
| 2021-09-30 | civil | THE SEC ALLEGED: BETWEEN IN OR ABOUT JANUARY 2014 AND IN OR ABOUT APRIL 2020, ROBERTS AND TCFG MADE MATERIALLY FALSE AND MISLEADING STATEMENTS TO TCFG'S ADVISORY CLIENTS ("TCFG CLIENTS"). THE DEFENDANTS DEFRAUDED THE TCFG CLIENTS BY FALSELY DISCLOSING THAT TCFG WEALTH MANAGEMENT "MAY" RECEIVE PORTIO… | Final | $100K |