Henry Pena
Henry Pena is a registered investment advisor at Tcfg Investment Advisors, LLC, based in Laguna Niguel, CA, with 39 years of industry experience. Henry is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Insurance Planning, and 3 more. Their firm serves 2,334 clients with $640M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 2.00% |
| $250K - $500K | 1.75% |
| $500K - $1.0M | 1.50% |
| $1M+ | 1.00% |
Each advisor sets their own independent schedule, up to a maximum of 2.25%. Fees are negotiable based on complexity, assets, and other factors.
Fee Estimator
Location
28202 Cabot Rd, Suite 300, Laguna Niguel, CA, 92677
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Henry works for TCFG Investment Advisors in conjunction with his employment at TCFG Wealth Management. This activity takes nearly full-time hours.
Employment History
Current Registrations
Tcfg Investment Advisors, LLC
Tcfg Wealth Management, LLCBroker
Previous Registrations
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Griffin Financial ServicesBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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