{
  "crd_number": 16164,
  "slug": "transamerica-financial-advisors-llc-philadelphia-pa-16164",
  "primary_business_name": "TRANSAMERICA FINANCIAL ADVISORS, LLC",
  "legal_name": "TRANSAMERICA FINANCIAL ADVISORS, LLC",
  "dbas": [],
  "city": "Philadelphia",
  "state": "PA",
  "country": "United States",
  "cbsa_code": "37980",
  "metro": {
    "cbsa_code": "37980",
    "common_name": "Philadelphia",
    "msa_name": "Philadelphia-Camden-Wilmington, PA-NJ-DE-MD",
    "path": "/advisors/pa/philadelphia"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1991-05-16",
  "years_registered": 35,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 2106655325.0,
  "raum_discretionary": 1663116439.0,
  "raum_non_discretionary": 443538886.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 991,
  "advisory_employees": 991,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 2675551.0,
      "count": 92,
      "description": "SECTION 529 AND UGMA/UTMA'S"
    },
    "charitable": {
      "raum": 2527490.0,
      "count": 11
    },
    "individuals": {
      "raum": 1644031514.0,
      "count": 41279
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 23929429.0,
      "count": 68
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 420338323.0,
      "count": 1218
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 13153018.0,
      "count": 67
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 5,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://facebook.com/TRANSAMERICATFA",
    "https://linkedin.com/company/transamerica-financial-advisors-llc",
    "https://tfaconnect.com",
    "https://x.com/TRANSAMERICATFA"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/16164",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.E(1)",
      "question": "Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "PHILADELPHIA",
  "url": "https://advisorcensus.com/firm/transamerica-financial-advisors-llc-philadelphia-pa-16164",
  "display_name": "Transamerica Financial Advisors, LLC",
  "summary": "Transamerica Financial Advisors, LLC is an SEC-registered investment advisory firm in Philadelphia, PA, registered since 1991, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. Transamerica Financial Advisors, LLC (CRD 16164): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Transamerica Financial Advisors, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Transamerica Financial Advisors, LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Transamerica Financial Advisors, LLC located?",
      "a": "Transamerica Financial Advisors, LLC's principal office is in Philadelphia, PA, according to its Form ADV; the April 2026 filing also lists 25 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Transamerica Financial Advisors, LLC registered with the SEC or a state?",
      "a": "Transamerica Financial Advisors, LLC is an SEC-registered investment advisory firm, registered since 1991. Status as filed: Approved. CRD 16164."
    },
    {
      "q": "How much does Transamerica Financial Advisors, LLC manage?",
      "a": "Transamerica Financial Advisors, LLC reports $2,106,655,325 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (79% discretionary)."
    },
    {
      "q": "How have Transamerica Financial Advisors, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Transamerica Financial Advisors, LLC: Regulatory assets under management: $2,070,956,104 in the October 2021 data and $2,106,655,325 in the October 2026 data, up 2%. Total employees: 1,198 in October 2021 and 991 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Transamerica Financial Advisors, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (41,279); high net worth individuals (1,218); other (92)."
    },
    {
      "q": "Does Transamerica Financial Advisors, LLC report any disciplinary disclosures?",
      "a": "Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.E(1) (self-regulatory organization's finding of a false statement or omission), and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/16164"
    },
    {
      "q": "What changed in Transamerica Financial Advisors, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 1054 to 991. Regulatory assets under management went from $1,730,669,809 to $2,106,655,325 (+22%). No longer lists an office in Alviso, CA."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 2070956104.0,
      "total_employees": 1198,
      "filing_date": "2021-08-12"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1758666155.0,
      "total_employees": 1225,
      "filing_date": "2022-07-26"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1815425709.0,
      "total_employees": 1235,
      "filing_date": "2023-05-05"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1619430178.0,
      "total_employees": 1127,
      "filing_date": "2024-08-28"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 1730669809.0,
      "total_employees": 1054,
      "filing_date": "2025-05-15"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 2106655325.0,
      "total_employees": 991,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 1054 to 991.",
        "Regulatory assets under management went from $1,730,669,809 to $2,106,655,325 (+22%).",
        "No longer lists an office in Alviso, CA."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Item 11 disclosure answers changed: 5 yes answers, previously 6 (now no: 11.C(1))."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/transamerica-financial-advisors-llc-philadelphia-pa-16164.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 41279,
      "fewer_than_5": false,
      "raum": 1644031514.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 1218,
      "fewer_than_5": false,
      "raum": 420338323.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 68,
      "fewer_than_5": false,
      "raum": 23929429.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 11,
      "fewer_than_5": false,
      "raum": 2527490.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 67,
      "fewer_than_5": false,
      "raum": 13153018.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 92,
      "fewer_than_5": false,
      "raum": 2675551.0
    }
  ],
  "disclosure_line": "Reports 5 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/16164",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}