Manitowoc, WI Office

TCFG Investment Advisors, LLC is an SEC-registered advisory firm managing approximately $639 million in client assets through a team of 29 advisors and serving individuals (including high-net-worth clients), profit-sharing plans, charities, and businesses. The firm provides discretionary and non-discretionary portfolio management, model portfolio services, financial planning, consulting, and access to third-party money managers.

Advisors use a range of analytical methods and strategies—fundamental, technical, quantitative, options, margin, and asset-allocation approaches—and portfolios are reviewed at least annually to align with clients’ objectives and risk tolerances. Custodial relationships are maintained with Pershing, Charles Schwab, and Equity Trust Company, and advisors may tailor services and restrictions to individual client needs.

Compared with many peers, TCFG operates from an unusually large multi-office footprint (24 offices) and is affiliated with an in-house broker-dealer, TCFG Wealth, which acts as an introducing broker-dealer, sponsors a wrap-fee program (with an additional program fee), and sets certain mark-ups on custodial and transaction charges. The firm disclosed and resolved an SEC enforcement matter relating to past disclosure and mark-up practices (resolved without admitting or denying the allegations), including stipulated payments of disgorgement of $287,752.97, prejudgment interest of $18,899.30, and civil penalties, and entry of injunctive terms.