DFX Intelligence

T•• F•••••••• G••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

T•• F•••••••• G••••

TFG INVESTMENT MANAGEMENT, LLC, CRD 169966

DIAMOND BAR, CA

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Search this name across graphsid dfx:ria:4cb549e4-eeb8-1ec7-d501-15be9f603379

Data as of Jun 6, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 21, 2014 to Jun 6, 2014
5 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 1
Employees: 1
Advisory employees: 1
Accounts: 0

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• A••• B•••••	n/a	DIAMOND BAR, CA	12	30	2	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• R•••••• A•••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	E	yes	02/2013	Jan 21, 2014	Jun 6, 2014

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Relationships

Controls (1)

← B•••••• R•••••• A•••OwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jan 21, 2014 to presentfactForm ADV

Registered with (1)

← R••••• A••• B•••••Advisorregistration: previous registration
Feb 18, 2014 to Jun 9, 2014factForm ADV

Dated events

Occurred
Jan 21, 2014
First Form ADV filing
T•• F•••••••• G•••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4cb549e4-eeb8-1ec7-d501-15be9f603379
First observed: Jan 21, 2014
Last observed: Jun 6, 2014 149 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.