# TCFG INVESTMENT ADVISORS, LLC

TCFG INVESTMENT ADVISORS, LLC of LAGUNA NIGUEL, CA is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 166606
- Type: SEC-registered investment adviser
- SEC file number: 801-77596
- Location: 28202 CABOT RD, SUITE 300, LAGUNA NIGUEL, CA, 92677
- Phone: 949-365-5830
- Latest filing: 2026-04-29
- Regulatory AUM: $639.4M
- Discretionary AUM: $639.4M
- Clients: 27
- Accounts: 2,171

## Business model

- Compensation: % of AUM, Hourly
- Clients served: Individuals, High net worth

## Officers, owners & control persons (6)

| 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 | — |


## Disclosures (6)

| 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 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/166606/brochure
- Similar advisers: https://search.stillhousedata.com/firm/166606/similar
- Related entities: https://search.stillhousedata.com/firm/166606/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/166606

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.