The Financial Group

**Summary:** **Background and Expertise:** TFG Investment Management, LLC, operating as THE FINANCIAL GROUP, is a California-based investment advisory firm established in 2014 by Robert A. Brooks. The firm specializes in providing a range of investment advisory services to individuals and various clients. **Consumer-Facing Terms:** - **Minimum Initial Investment:** $100,000 for Comprehensive Asset Management service (negotiable). - **Fee Structure:** Charged as a percentage of assets under management, ranging from 1.00% to 0.30% based on account value. - **Fiduciary Status:** Acting in the best interests of clients. - **Investment Discretion:** Clients need to sign a discretionary investment advisory agreement for account management. - **Investment Strategy:** Utilizes methods like charting, fundamental analysis, technical analysis, and cyclical analysis. - **Client Types:** Individuals, High Net Worth Individuals, Pension or Profit-Sharing Plans, Corporations, and other business entities. **Advisory Business Description:** The firm offers Comprehensive Asset Management and Financial Planning & Consulting services tailored to individual client needs. Investment strategies include long-term and short-term purchases, emphasizing risk management and diversification. Clients receive regular account reviews and reports, with a focus on maintaining alignment with investment objectives. **Code of Ethics:** The firm adheres to a Code of Ethics ensuring fair and ethical practices, with a commitment to acting in the best interests of clients. Clients are provided with full disclosure of material facts and are encouraged to seek clarification on any potential conflicts of interest. **Custody and Financial Information:** Client assets are held by a qualified custodian, and clients receive quarterly account statements directly. The firm does not require prepayment of fees exceeding $500 or take custody of client funds. Financial information is not provided as it is not required based on the firm's financial condition. **Conclusion:** THE FINANCIAL GROUP, led by Robert A. Brooks, offers personalized investment advisory services with a focus on transparency, client-centric practices, and ethical standards in line with fiduciary responsibilities. Clients benefit from tailored investment strategies, regular reviews, and a commitment to acting in their best interests.