DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Tcfg Investment Advisors, LLC

Independent wealth managerLaguna Niguel, CaliforniaCRD 166606SEC 801-77596websiteIAPD
Latest filing Aug 24, 2026
First filing on the tape Jan 23, 2013 · 63 filings
SEC status approved since Feb 9, 2013
RAUM
$639M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$639M individuals and HNW
Advisors
31
registered through the firm on IAPD
RAUM per advisor
$20.6M
derived; firm RAUM over IAPD count
Employees
27
25 advisory (5.B.1)
Offices
23
beyond the principal office
Private funds
0
reported on Schedule D
History
63 filings and snapshots on the tape
RAUM$639M as of Aug 24, 2026
Mar 31, 2014$100M then
HNW client RAUM$232M as of Aug 24, 2026
Mar 31, 2018$0 then
State-registered IARs (5.B.3)0 as of Aug 24, 2026
Mar 31, 20140 then
Employees (5.A)27 as of Aug 24, 2026
Mar 31, 20143 then
Private funds: no history
RAUM +11% over the last fiscal year+12% a year over threeIARs 0 to 0offices 21 to 23
Practice profile
derived from the filing of Aug 24, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$20.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
75derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$294,524derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.9derivedItem 5.A over advisors
Advisors per office
1.3derived24 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-0.4%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$735MreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$408M64%
  • High-net-worth individuals$232M36%
Individual clients
2,261reported
HNW clients
73reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
2,171reported
Financial planning clients
1-10reported
Wrap fee programs
$367M sponsored, $367M managedreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=22.0derived
Advisors registered through the firm
30 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Jon Alan KerbyEscondido, Ca Jan 9, 201434 y3
Thomas John WolfCertified Financial PlannerMission Viejo, CaJan 10, 201440 y3
Randall Joseph MontoyaTruchas, Nm Feb 12, 201428 y2
Terry Donald DeeverCertified Financial PlannerLaguna Niguel, Ca Jun 20, 201621 y3
William Noble JenkinsLaguna Niguel, Ca Jan 3, 201735 y4
Erin Murray WilliamsLaguna Niguel, Ca Apr 26, 201734 y5
Paul Jeremiah TooheyLaguna Niguel, Ca Oct 6, 201743 y1
William George KnappCalabasas, Ca Nov 7, 201728 y1
Robert Lee MilanLaguna Niguel, Ca Dec 22, 201724 y2
Sharon Lee HerbstSpokane Valley, Wa Mar 5, 201834 y1
Willy Ong TanLa Habra, Ca Aug 1, 201826 y6
Michael Edward HallaLaguna Niguel, Ca Dec 5, 201829 y2
Timothy D. SoulesWillow :Park, Tx Jan 22, 201925 y1
Alysia Ann LindbergCamarillo, Ca Feb 7, 201914 y0
Gregory Reed GilesIrvine, Ca Jan 2, 202020 y2
Tommy Lee FausettLaguna Niguel, Ca Jan 3, 202011 y0
Russell A AndrewsLaguna Niguel, Ca Jan 3, 202039 y4
Don M DumasLaguna Niguel, Ca Jun 8, 202040 y3
Eric NicholsRedondo Beach, Ca Aug 10, 202030 y2
Steven Erik JakschLaguna Niguel, CaDec 3, 202025 y2
Michael John HerleviOak Harbor, Wa Dec 9, 20219 y1
Peter Joseph GlowackiBrookfield, Wi May 8, 202343 y1
Steven Andrew KingLaguna Niguel, Ca May 6, 202410 y2
Carl Lance HuntleyAustin, Tx Jul 18, 202430 y7
Burton Blayne BrownCertified Financial PlannerLaguna Niguel, Ca Jan 3, 202519 y5
Ryan Lawrence BrandonManitowoc, WiMar 14, 202513 y0
Henry Martinez PenaLaguna Niguel, CaJan 8, 202640 y1
Howard Michael WolfsonCincinnati, Oh Feb 11, 202627 y3
Matthew Carl SeemLaguna Niguel, Ca Feb 11, 202616 y1
Daniel Charles HauschildCertified Financial PlannerWilmington, De Mar 11, 202624 y5
Advisor movement
0 left, 4 joined in 12 months
net +4 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • James Richard Roberts · Presidentcontrol
    since 12/2013 · owns less than 5%
  • Marie Deetra Tesla · Chief Compliance Officercontrol
    since 07/2023 · owns less than 5%
  • James Richard Roberts · Elected Managercontrol
    since 01/2012 · owns 75% or more of Certus Financial Group, LLC
Entity owners
  • Certus Financial Group, LLC · Managing Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Laguna Niguel, Ca · principal2950
Camarillo, Ca200
Manitowoc, Wi200
Mission Viejo, Ca200
Offices
Schedule D 1.F, the 25 largest
  • Manitowoc, WI2 employees
  • Mission Viejo, CA2 employees
  • Brookfield, WI1 employees
  • Calabasas, CA1 employees
  • Camarillo, CA1 employees
  • Canton, OH1 employees
  • Escondido, CA1 employees
  • Green Bay, WI1 employees
  • Las Vegas, NV1 employees
  • Omaha, NE1 employees
  • Redondo Beach, CA1 employees
  • Willow :Park, TX1 employees
  • Anaheim Hills, CA1 employees
  • , 1 employees
  • Basalt, CO1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • HNW share shiftChange between filings · filing Apr 29, 2026
    HNW share of RAUM moved from 12.0% to 36.0% between the annual amendments of 2025-03-31 and 2026-04-29
    peers: independent wealth managers, $500M to $1B (1,482)
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 2,344 to 2,171
    Mar 31, 2025 to Mar 31, 2026
  • HNW clients · 45 to 73
    Mar 31, 2025 to Mar 31, 2026
  • Individual clients · 2,299 to 2,261
    Mar 31, 2025 to Mar 31, 2026
  • Other offices · 21 to 23
    Mar 31, 2025 to Mar 31, 2026
  • Discretionary RAUM · $575M to $639M
    Mar 31, 2025 to Mar 31, 2026
  • HNW RAUM · $67.5M to $232M
    Mar 31, 2025 to Mar 31, 2026
  • Individual RAUM · $508M to $408M
    Mar 31, 2025 to Mar 31, 2026
  • RAUM · $575M to $639M
    Mar 31, 2025 to Mar 31, 2026
  • Accounts · 2,441 to 2,344
    Sep 23, 2024 to Mar 31, 2025
  • Advisory employees · 24 to 25
    Sep 23, 2024 to Mar 31, 2025
  • HNW clients · 2 to 45
    Sep 23, 2024 to Mar 31, 2025
  • Individual clients · 2,510 to 2,299
    Sep 23, 2024 to Mar 31, 2025
  • Pension plan clients · 16.0 to unset
    Sep 23, 2024 to Mar 31, 2025
  • Assets in custody · 442087737.0 to unset
    Sep 23, 2024 to Mar 31, 2025
  • Custody of client assets · true to false
    Sep 23, 2024 to Mar 31, 2025
  • Employees · 25 to 27
    Sep 23, 2024 to Mar 31, 2025
  • Insurance-licensed employees · 0 to 27
    Sep 23, 2024 to Mar 31, 2025
  • Financial planning clients · 1-10 to 1-10
    Sep 23, 2024 to Mar 31, 2025
  • Other offices · 19 to 21
    Sep 23, 2024 to Mar 31, 2025
  • Discretionary RAUM · $507M to $575M
    Sep 23, 2024 to Mar 31, 2025
  • HNW RAUM · $3.1M to $67.5M
    Sep 23, 2024 to Mar 31, 2025
  • Individual RAUM · $494M to $508M
    Sep 23, 2024 to Mar 31, 2025
  • Pension RAUM · 9650288.0 to unset
    Sep 23, 2024 to Mar 31, 2025
  • RAUM · $507M to $575M
    Sep 23, 2024 to Mar 31, 2025
  • Wrap assets (manager) · $324M to $367M
    Sep 23, 2024 to Mar 31, 2025
  • Wrap assets (sponsor) · $324M to $367M
    Sep 23, 2024 to Mar 31, 2025
  • Accounts · 2,294 to 2,441
    Nov 13, 2023 to Mar 28, 2024
  • Advisory employees · 32 to 24
    Nov 13, 2023 to Mar 28, 2024
  • BD registered reps · 28 to 22
    Nov 13, 2023 to Mar 28, 2024
  • HNW clients · 72 to 2
    Nov 13, 2023 to Mar 28, 2024
  • Individual clients · 1,359 to 2,510
    Nov 13, 2023 to Mar 28, 2024
  • Pension plan clients · 5 to 16
    Nov 13, 2023 to Mar 28, 2024
  • Assets in custody · unset to 442087737.0
    Nov 13, 2023 to Mar 28, 2024
  • Custody of client assets · false to true
    Nov 13, 2023 to Mar 28, 2024
  • Employees · 33 to 25
    Nov 13, 2023 to Mar 28, 2024
  • State-registered IARs · 32 to 0
    Nov 13, 2023 to Mar 28, 2024
  • Other offices · 25 to 19
    Nov 13, 2023 to Mar 28, 2024
  • Discretionary RAUM · $447M to $507M
    Nov 13, 2023 to Mar 28, 2024
  • HNW RAUM · $46.0M to $3.1M
    Nov 13, 2023 to Mar 28, 2024
  • Individual RAUM · $401M to $494M
    Nov 13, 2023 to Mar 28, 2024
Signals
14 dated events
  • Tcfg Investment Advisors, Llc reported 19 offices beyond its principal office, down from 25 (2023-11-13 to 2024-03-28)
    Mar 28, 2024 · Office count change · derived
  • Tcfg Investment Advisors, Llc reported 0 state-registered advisory representatives, down from 32 (2023-11-13 to 2024-03-28)
    Mar 28, 2024 · Advisor headcount change · derived
  • Neil Sampat Gavande left Tcfg Investment Advisors, Llc for Farm And Community Advisory (registered 2024-08-02)
    Oct 3, 2023 · Advisor changed firm · fact
  • Marie Deetra Tesla (Chief Compliance Officer) appeared on Schedule A of Tcfg Investment Advisors, Llc
    Sep 5, 2023 · Control person joined · fact
  • Melanie Ann Pozorski left Tcfg Investment Advisors, Llc for Lanier Financial Group Llc (registered 2024-04-24)
    Jul 12, 2023 · Advisor changed firm · fact
  • Tcfg Investment Advisors, Llc reported 25 offices beyond its principal office, up from 0 (2022-11-10 to 2023-03-31)
    Mar 31, 2023 · Office count change · derived
  • Larry David Zuckerman left Tcfg Investment Advisors, Llc for Lpl Financial Llc (registered 2022-11-14)
    Dec 12, 2022 · Advisor changed firm · fact
  • Benny Ellerbe left Tcfg Investment Advisors, Llc for Wells Fargo Advisors (registered 2023-08-01)
    Oct 7, 2022 · Advisor changed firm · fact
  • Timothy Dj Roche left Tcfg Investment Advisors, Llc for U.S. Bancorp Investments, Inc. (registered 2022-03-10)
    Mar 28, 2022 · Advisor changed firm · fact
  • David Andrew Baldwin left Tcfg Investment Advisors, Llc for Commonwealth Financial Network (registered 2022-01-28)
    Feb 8, 2022 · Advisor changed firm · fact
  • Tcfg Investment Advisors, Llc reported 22 state-registered advisory representatives, up from 12 (2020-03-26 to 2020-04-30)
    Apr 30, 2020 · Advisor headcount change · derived
  • Tcfg Investment Advisors, Llc reported RAUM $417.8M, up 32% from $317.4M (2018-03-31 to 2018-05-08)
    May 8, 2018 · RAUM change · derived
  • Tcfg Investment Advisors, Llc reported RAUM $317.4M, up 101% from $158.0M (2017-12-12 to 2018-03-31)
    Mar 31, 2018 · RAUM change · derived
  • Tcfg Investment Advisors, Llc filed its initial SEC registration (Form ADV)
    Jan 23, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Business phone
949-365-5830reportedpublished by the firm, firm site, Sep 16, 2026
Website
TCFGCOMPANIES.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
949-365-5830reportedpublic record, Form ADV, Aug 24, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor
$20.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026