{"url":"https://nivawealth.com/firms/team-financial-group-309411","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/309411","regulatoryAum":251054808,"crd":"309411","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2437637","suffix":null,"lastName":"COLE","firstName":"JEFFRY","middleName":"STEPHEN"},{"crd":"6791844","suffix":"II","lastName":"COLE","firstName":"JEFFRY","middleName":"STEPHEN"},{"crd":"2421588","suffix":null,"lastName":"COLE","firstName":"LEONARD","middleName":"PAUL"},{"crd":"5168518","suffix":null,"lastName":"LEONHART","firstName":"DAVID","middleName":"PAUL"},{"crd":"7438903","suffix":null,"lastName":"Owen","firstName":"Brian","middleName":null},{"crd":"7038627","suffix":null,"lastName":"WATTS","firstName":"DUSTIN","middleName":"PAUL"}],"total":6,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2023-04-25","regulatoryAum":102267120,"clients":342,"employees":8,"offices":1},{"filedOn":"2024-05-15","regulatoryAum":147216357,"clients":316,"employees":8,"offices":1},{"filedOn":"2025-05-20","regulatoryAum":185822369,"clients":332,"employees":7,"offices":2},{"filedOn":"2026-06-02","regulatoryAum":251054808,"clients":366,"employees":7,"offices":2}],"secFileNumber":"801-127441","legalName":"Team Financial Group, LLC","displayName":"Team Financial Group","slug":"team-financial-group-309411","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/team-wealth-&-tax-advisors/","founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"40395 Winchester Road, Suite A","city":"Temecula","state":"CA","stateName":"California","country":"United States","postalCode":"92591"},"tradeNames":[],"registration":{"secApproved":"10 March 2023","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":683395.0218579235,"staff":{"employees":7,"advisory":6,"brokerDealerReps":0,"insuranceAgents":6,"promoters":0},"aum":{"regulatory":251054808,"discretionary":251054808,"discretionaryAccounts":793,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":287,"regulatoryAum":109903861},{"label":"High-net-worth individuals","clients":79,"regulatoryAum":140218717},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":932230}],"feePrograms":[{"role":"other","program":"Basic Estate Planning","summary":"Maximum flat fee of $2,200, plus $300 for each additional property or entity; amendments start at $350.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047028","versionId":1047028,"submittedOn":"2026-06-02","documentName":"TEAM WEALTH & TAX ADVISORS-DISCLOSURE BROCHURE-FORM ADV2A - SEC"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T16:37:53.827093+00:00","documents":[{"name":"TEAM WEALTH & TAX ADVISORS-DISCLOSURE BROCHURE-FORM ADV2A - SEC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047028","versionId":1047028,"submittedOn":"2026-06-02"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":233266621}],"custodyNote":"Team Financial Group has custody of $52.2M in client assets for 116 clients.","otherCustodians":[],"leadership":[{"name":"Jeffry Cole","title":"Chief Compliance Officer","crd":"2437637"},{"name":"Leonard Cole","title":"Managing Member","crd":"2421588"},{"name":"Jeffry Cole","title":"Managing Member","crd":"2437637"}],"ownership":[{"label":"Jeffry Cole","detail":"Managing member in the 50% to 75% ownership band and a control person, since August 2013. 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They include 287 individual clients and 79 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Team Financial Group offer?","answer":"Team Financial Group provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Team Financial Group use?","answer":"Team Financial Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $233M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Team Financial Group have?","answer":"Team Financial Group has 6 investment adviser representatives registered with state securities authorities, out of 7 employees, and 6 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 6 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Team Financial Group invest in?","answer":"At the end of its last fiscal year, Team Financial Group’s separately managed accounts held 95% registered funds (mutual funds, ETFs, BDCs), 2% exchange-traded equities, 1% U.S. government and agency bonds, 1% investment grade corporate bonds and 1% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Team Financial Group?","answer":"Team Financial Group’s direct owners are Jeffry Cole (50% to 75%) and Leonard Cole (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 2 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Team Financial Group get paid?","answer":"Team Financial Group is paid through a percentage of assets under management and fixed fees. 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}