Henry Pena is a registered investment advisor at Tcfg Investment Advisors, LLC, based in Laguna Niguel, CA, with 39 years of industry experience. Henry operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 2,344 clients with $580M 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% |
Fees are negotiable on a client-by-client basis.
Fee Estimator
Location
28202 Cabot Rd, Suite 300, Laguna Niguel, CA, 92677
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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.