# Transamerica Financial Advisors, LLC

> 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.

- CRD: 16164
- Filed as: TRANSAMERICA FINANCIAL ADVISORS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Philadelphia, PA
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/16164
- AdvisorCensus page: https://advisorcensus.com/firm/transamerica-financial-advisors-llc-philadelphia-pa-16164

## Quick answers

**How is Transamerica Financial Advisors, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Transamerica Financial Advisors, LLC reports these compensation arrangements: a percentage of assets under its management.

**Where is Transamerica Financial Advisors, LLC located?**
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).

**Is Transamerica Financial Advisors, LLC registered with the SEC or a state?**
Transamerica Financial Advisors, LLC is an SEC-registered investment advisory firm, registered since 1991. Status as filed: Approved. CRD 16164.

**How much does Transamerica Financial Advisors, LLC manage?**
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).

**How have Transamerica Financial Advisors, LLC's assets and staff changed since 2021?**
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.

**What types of clients does Transamerica Financial Advisors, LLC serve?**
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).

**Does Transamerica Financial Advisors, LLC report any disciplinary disclosures?**
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

**What changed in Transamerica Financial Advisors, LLC's recent Form ADV filings?**
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.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $2,106,655,325
- Discretionary: $1,663,116,439
- Non-discretionary: $443,538,886

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 41,279 | $1,644,031,514 |
| High net worth individuals | 1,218 | $420,338,323 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 68 | $23,929,429 |
| Charitable organizations | 11 | $2,527,490 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 67 | $13,153,018 |
| Other | 92 | $2,675,551 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 1991 (35 years)
- Employees: 991 total, 991 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports 5 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?
- 11.E(1): 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?
- 11.E(2): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/16164

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Alpharetta, GA
- Alviso, CA
- Austin, TX
- Bellevue, WA
- Brea, CA
- Centennial, CO
- Cincinnati, OH
- Dayton, OH
- Houston, TX
- Irvine, CA
- Jacksonville, FL
- Las Vegas, NV
- Layton, UT
- Modesto, CA
- Murfeeboro, TN
- Orange, CA
- Plano, TX
- Pleasanton, CA
- Portland, OR
- San Jose, CA
- Short Hills, NJ
- So. Jordan, UT
- South Jordan, UT
- Thousand Oaks, CA
- Torrance, CA

### Websites listed on Form ADV (Item 1.I)
- tfaconnect.com
- Facebook @TRANSAMERICATFA
- LinkedIn @transamerica-financial-advisors-llc
- X @TRANSAMERICATFA

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $2,070,956,104 | 1,198 | August 12, 2021 |
| October 2022 | $1,758,666,155 | 1,225 | July 26, 2022 |
| October 2023 | $1,815,425,709 | 1,235 | May 5, 2023 |
| October 2024 | $1,619,430,178 | 1,127 | August 28, 2024 |
| October 2025 | $1,730,669,809 | 1,054 | May 15, 2025 |
| October 2026 | $2,106,655,325 | 991 | March 31, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- 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.

### December 2025
- Item 11 disclosure answers changed: 5 yes answers, previously 6 (now no: 11.C(1)).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Transamerica Financial Advisors, LLC (CRD 16164): Form ADV filing data as of October 2026.