DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Transamerica Financial Advisors, LLC
Latest filing Mar 31, 2026
First filing on the tape Jan 13, 2012 · 69 filings
SEC status approved since May 16, 1991
RAUM
$2.1B
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
98%
$2.1B individuals and HNW
Advisors
1,120
registered through the firm on IAPD
RAUM per advisor
$1.9M
derived; firm RAUM over IAPD count
Employees
991
991 advisory (5.B.1)
Offices
260
beyond the principal office
Private funds
0
reported on Schedule D
History
69 filings and snapshots on the tape
RAUM$2.1B as of Mar 31, 2026
Jan 13, 2012$2.7B then
HNW client RAUM$420M as of Mar 31, 2026
Mar 29, 2018$95.1M then
State-registered IARs (5.B.3)991 as of Mar 31, 2026
Apr 1, 20131,824 then
Employees (5.A)991 as of Mar 31, 2026
Apr 1, 20131,824 then
Private funds: no history
RAUM +22% over the last fiscal year+5.1% a year over threeIARs 1,054 to 991
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $1.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $345,105derivedHNW RAUM over HNW clients
- Average account
- $49,296derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 4.3derived261 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $2.1BreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.6B78%
- High-net-worth individuals$420M20%
- Pension and profit-sharing plans$23.9M1.1%
- Corporations and businesses$13.2M0.6%
- Charitable organizations$2.5M0.1%
- Individual clients
- 41,279reported
- HNW clients
- 1,218reported
- Pension plan clients
- 68reported
- Charitable clients
- 11reported
- Accounts
- 42,735reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $1.7B sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=true bd_reps=969.0derived
Advisors registered through the firm
1,122 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ghassan (Gus) Nakhle Nakhoul | Cerritos, Ca | Jan 6, 2012 | 37 y | 1 |
| Nelson Lee Tan | Fremont, Ca | Jan 6, 2012 | 25 y | 1 |
| Thomas E Drennan | Oakbrook Terrace, Il | Jan 6, 2012 | 32 y | 1 |
| Lenka Holman | San Diego, Ca | Jan 6, 2012 | 24 y | 1 |
| Zhong ShiCertified Financial Planner | Alviso, Ca | Jan 6, 2012 | 23 y | 2 |
| Hye Soon Kim | Bellevue, Wa | Jan 6, 2012 | 21 y | 1 |
| Jane Natalie Landsberger | Plano, Tx | Jan 6, 2012 | 24 y | 1 |
| Benjamin John York | Centennial, Co | Jan 6, 2012 | 25 y | 1 |
| Pablo Huston Albarran | Santa Clara, Ca | Jan 6, 2012 | 24 y | 1 |
| Bryan D Linder | Alpharetta, Ga | Jan 6, 2012 | 23 y | 1 |
| Russell L. Appelget | Houston, Tx | Jan 6, 2012 | 29 y | 1 |
| Gaoling Fu | San Jose, Ca | Jan 6, 2012 | 24 y | 1 |
| Desmond Anthony Scott | Kingston, Pa | Jan 6, 2012 | 25 y | 1 |
| Stephanie Valechia Hicks | Carson, Ca | Jan 6, 2012 | 37 y | 1 |
| Jason Jeffrey Hagen | Lawrenceburg, Ky | Jan 6, 2012 | 23 y | 1 |
| Baoqing Li | Brookfield, Wi | Jan 6, 2012 | 25 y | 1 |
| Edward Kent Nicolls | Fresno, Ca | Jan 6, 2012 | 26 y | 1 |
| Bradley Lloyd Barker | So. Jordan, Ut | Jan 6, 2012 | 48 y | 1 |
| David Paul Prom | Portland, Or | Jan 6, 2012 | 24 y | 1 |
| Samuel R Paget | Clearfield, Ut | Jan 6, 2012 | 28 y | 1 |
| Sandy Yu | San Jose, Ca | Jan 6, 2012 | 24 y | 1 |
| Chinghui Lin | Pleasanton, Ca | Jan 6, 2012 | 15 y | 1 |
| Jonathan S Yu | San Jose, Ca | Jan 6, 2012 | 24 y | 1 |
| Stacey Van Quinn | Concord, Ca | Jan 6, 2012 | 24 y | 1 |
| Oscar Raul Gutierrez | Houston, Tx | Jan 6, 2012 | 44 y | 1 |
| Blake Northup Jordan | Fairfax, Va | Jan 6, 2012 | 27 y | 1 |
| Bradley Spencer Whittaker | Orem, Ut | Jan 6, 2012 | 25 y | 1 |
| Mehrnaz Borna Mendoza | Alpharetta, Ga | Jan 6, 2012 | 25 y | 1 |
| Jonathan Eli Cline | Idaho Falls, Id | Jan 6, 2012 | 25 y | 1 |
| Jeroen Hoogeveen | Modesto, Ca | Jan 6, 2012 | 26 y | 1 |
| Judy Sanga Se-Fune | Chesapeake, Va | Jan 6, 2012 | 30 y | 1 |
| Jason Eric Weston | Plano, Tx | Jan 6, 2012 | 25 y | 1 |
| Qinghua Liu | San Diego, Ca | Jan 6, 2012 | 26 y | 1 |
| Sylvia Denise Mckinney | Plano, Tx | Jan 6, 2012 | 35 y | 1 |
| Robert Michael Roman | Tucson, Az | Jan 6, 2012 | 26 y | 1 |
| Zhaohui Connie Chen | San Jose, Ca | Jan 6, 2012 | 25 y | 1 |
| Kevin James Larsen | Clearfield, Ut | Jan 6, 2012 | 26 y | 1 |
| Lorraine Reane Siller | Alviso, Ca | Jan 6, 2012 | 26 y | 1 |
| Nafeng Irene Hioe | Orange, Ca | Jan 6, 2012 | 27 y | 1 |
| Timothy Paul Mullaney | Plano, Tx | Jan 6, 2012 | 25 y | 3 |
Advisor movement
47 left, 31 joined in 12 months
net -16 in 12 months6 left in 90 days10 joined in 90 daysdeparture rate 4.2% of current headcount198 left over 36 months
Left, latest
- Eric Min Wang to Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 16, 2026 · Affiliated broker-dealer or bank to wirehouse
- Samuel Joe Sturt to LPL Financial LLCJul 2, 2026 · Affiliated broker-dealer or bank to another
- Brenda Simson to Founders Financial Securities, LLCJun 29, 2026 · Affiliated broker-dealer or bank to independent RIA
- Raymond Lamar Brown to Keystone Wealth Advisors, LLCJun 26, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
- Shirley Si Cheng to Summit Global Investments, LLCJun 22, 2026 · Affiliated broker-dealer or bank to independent RIA
- Lina Kuang-Chan to Summit Global Investments, LLCJun 22, 2026 · Affiliated broker-dealer or bank to independent RIA
- Raymond Hao Wong to Summit Global Investments, LLCJun 18, 2026 · Affiliated broker-dealer or bank to independent RIA
- Ronald Edward Groves to Summit Global Investments, LLCJun 17, 2026 · Affiliated broker-dealer or bank to independent RIA
- Lai Mui Chu to Summit Global Investments, LLCJun 16, 2026 · Affiliated broker-dealer or bank to independent RIA
- David Cheng to Summit Global Investments, LLCJun 12, 2026 · Affiliated broker-dealer or bank to independent RIA
- Spencer Skolout to Cetera Investment Advisers LLCJun 1, 2026 · Affiliated broker-dealer or bank to another
- Jonathan Michael Richard to LPL Financial LLCMay 29, 2026 · Affiliated broker-dealer or bank to another
- Shkira Singh to Secure Investment Management, LLCMay 22, 2026 · Affiliated broker-dealer or bank to independent RIA
- Jennifer C Lewis to LPL Financial LLCMay 12, 2026 · Affiliated broker-dealer or bank to another
- Delane Robert Schieferstein to Cetera Investment Advisers LLCApr 27, 2026 · Affiliated broker-dealer or bank to another
Joined, latest
- Ayelet Bisson from Kestra Advisory Services, LLCSep 16, 2026 · Affiliated broker-dealer or bank to another
- Justin W Hill from Severin Investments LLCSep 14, 2026 · RIA to affiliated broker-dealer or bank
- Sydney Katrina Hyatt from W&S Brokerage Services, Inc.Sep 9, 2026 · Affiliated broker-dealer or bank to another
- Julian Ortega from Cetera Investment Advisers LLCAug 27, 2026 · Affiliated broker-dealer or bank to another
- Kumar Bhandari from Avantax Advisory ServicesAug 11, 2026 · Affiliated broker-dealer or bank to another
- Alia S. Mendez-Taylor from Janney Montgomery Scott LLCAug 11, 2026 · Affiliated broker-dealer or bank to another
- Orobosa Ero from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 29, 2026 · Wirehouse to affiliated broker-dealer or bank
- Shane Mahadeo from Florida Financial Advisors, LLCJul 15, 2026 · Affiliated broker-dealer or bank to another
- Michael John Russo from Ic Advisory Services, Inc.Jul 9, 2026 · Other
- Yali Pan Sheneman from Hsbc Securities (USA) Inc.Jun 25, 2026 · Affiliated broker-dealer or bank to another
- Keith Jackson from LPL Financial LLCJun 1, 2026 · Affiliated broker-dealer or bank to another
- Paula Juszczyk from Cetera Investment Advisers LLCMay 27, 2026 · Affiliated broker-dealer or bank to another
- Ryan P Murphy from Morgan StanleyMay 20, 2026 · Wirehouse to affiliated broker-dealer or bank
- Holly Crystal Brauer from Cetera Investment Advisers LLCMay 15, 2026 · Affiliated broker-dealer or bank to another
- Sarah Guibert from Wealth Enhancement Advisory Services, LLCMay 6, 2026 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for Summit Global Investments, LLCJun 12, 2026 · Norwood, Ma
- 2 left for Your Ia, LLCMar 24, 2026 · Braintree, Ma
- 2 left for LPL Financial LLCMar 9, 2026 · Woodland Hills, Ca
- 2 left for LPL Financial LLCSep 4, 2025 · Brea, Ca
- 2 left for Cetera Investment Advisers LLCApr 4, 2025 · Cedar Rapids, Ia
- 2 left for Pruco Securities, LLCJul 2, 2024 · Los Angeles, Ca
- 2 left for Encompass More Asset Management LLCJun 13, 2024 · Pasadena, Ca
- 2 left for LPL Financial LLCMay 10, 2024 · Brookfield, Wi
- 2 joined from W&S Brokerage Services, Inc.Feb 18, 2025 · Wilmington, Nc
- 2 joined from My Financial Group, Ltd.Sep 26, 2022 · Cuyahoga Falls, Oh
- 2 joined from Independent Financial Group, LLCDec 21, 2018 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michelle Anne Barry · Director, President, Ceo, Chief Supervisory Officercontrolsince 02/2024 · owns less than 5%
- Brian Beitzel · Director, Chief Financial Officercontrolsince 01/2017 · owns less than 5%
- Robert Costello · Chief Operations Officercontrolsince 07/2024 · owns less than 5%
- Christina D Kramer · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
Entity owners
- Aegon Asset Management Services, Inc. · Ownerdirect · owns 25% to 50%
- Ausa Holding, LLC · Ownerdirect · owns 50% to 75%
- Commonwealth General Corporation · Ownerdirect · owns 10% to 25%
- Aegon International B.V. · Trusteeindirect · owns 75% or more of Transamerica Corporation
- Aegon Nv · Ownerindirect · owns 75% or more of Aegon International B.V. · public reporting company
- Transamerica Corporation · Ownerindirect · owns 75% or more of Ausa Holding, LLC
Related persons
Schedule D 7.A
- Aegon Asset Management Uk Plcinvestment adviserpooled vehicle sponsornRAUM $53B
- Aegon Asset Management USinvestment adviserpooled vehicle sponsornRAUM $89B
- Aegon Real Assets USinvestment adviserinvestment companynRAUM $394M
- Intersecurities Insurance Agency, Inc.real estaten
- Transamerica Asset Management, Inc.investment adviserbankpooled vehicle sponsornRAUM $66B
- Transamerica Capital, Inc.broker-dealern
- Transamerica Investors Securities Corporationbroker-dealern
- Transamerica Life Insurance Companyreal estatecustodiann
- Transamerica Premier Life Insurance Companyreal estatecustodiann
- Transamerica Retirement Advisors, LLCinvestment adviserLP sponsornRAUM $19B
Advisers that list Transamerica Financial Advisors, LLC as a related person
- 107376 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cedar Rapids, Ia | 42 | 12 | 2 | ||
| Bellevue, Wa | 40 | 12 | 1 | ||
| Houston, Tx | 40 | 5 | 1 | ||
| Plano, Tx | 35 | 5 | 0 | ||
| Las Vegas, Nv | 33 | 8 | 3 | ||
| Alpharetta, Ga | 31 | 4 | 2 | ||
| Portland, Or | 31 | 4 | 0 | ||
| Irvine, Ca | 30 | 8 | 1 | ||
| Centennial, Co | 30 | 5 | 1 | ||
| Cincinnati, Oh | 28 | 0 | 2 | ||
| Alviso, Ca | 28 | 3 | 2 | ||
| San Jose, Ca | 25 | 1 | 0 | ||
| Pleasanton, Ca | 25 | 5 | 0 | ||
| So Jordan, Ut | 24 | 4 | 0 | ||
| San Diego, Ca | 21 | 3 | 1 | ||
| Orange, Ca | 17 | 2 | 0 | ||
| Torrance, Ca | 15 | 4 | 1 | ||
| Jacksonville, Fl | 14 | 3 | 0 | ||
| Thousand Oaks, Ca | 14 | 2 | 1 | ||
| Orem, Ut | 14 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Cincinnati, OH23 employees
- Portland, OR20 employees
- So. Jordan, UT19 employees
- Greenwood Village, CO19 employees
- Jacksonville, FL17 employees
- Alpharetta, GA16 employees
- Plano, TX15 employees
- Alviso, CA15 employees
- Thousand Oaks, CA14 employees
- Portland, OR14 employees
- San Jose, CA14 employees
- Newport Beach, CA12 employees
- Alviso, CA12 employees
- Pleasanton, CA12 employees
- Ste 3a-3, TN11 employees
- Houston, TX11 employees
- Orange, CA10 employees
- Dayton, OH10 employees
- Greenwood Village, CO10 employees
- Brea, CA9 employees
- Torrance, CA9 employees
- San Jose, CA8 employees
- Las Vegas, NV8 employees
- Layton, UT8 employees
- Modesto, CA8 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 0.0% to 79.0% between the annual amendments of 2025-03-28 and 2026-03-31peers: affiliated wealth managers, $1B to $5B (56)
What changed
consecutive filings, newest first
- Accounts · 42,440 to 42,735Oct 6, 2025 to Mar 31, 2026
- Advisory employees · 1,054 to 991Oct 6, 2025 to Mar 31, 2026
- BD registered reps · 1,029 to 969Oct 6, 2025 to Mar 31, 2026
- Charity clients · 12 to 11Oct 6, 2025 to Mar 31, 2026
- Corporate clients · 53 to 67Oct 6, 2025 to Mar 31, 2026
- HNW clients · 980 to 1,218Oct 6, 2025 to Mar 31, 2026
- Individual clients · 41,269 to 41,279Oct 6, 2025 to Mar 31, 2026
- Pension plan clients · 47 to 68Oct 6, 2025 to Mar 31, 2026
- Employees · 1,054 to 991Oct 6, 2025 to Mar 31, 2026
- State-registered IARs · 1,054 to 991Oct 6, 2025 to Mar 31, 2026
- Discretionary RAUM · $0 to $1.7BOct 6, 2025 to Mar 31, 2026
- HNW RAUM · $270M to $420MOct 6, 2025 to Mar 31, 2026
- Individual RAUM · $1.4B to $1.6BOct 6, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.7B to $444MOct 6, 2025 to Mar 31, 2026
- Pension RAUM · $24.1M to $23.9MOct 6, 2025 to Mar 31, 2026
- RAUM · $1.7B to $2.1BOct 6, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · $1.4B to $1.7BOct 6, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0May 15, 2025 to Oct 6, 2025
- Pension RAUM · $2.2M to $24.1MMar 28, 2025 to May 15, 2025
- Pooled vehicle RAUM · 0.0 to unsetMar 28, 2025 to May 15, 2025
- Accounts · 45,001 to 42,440Feb 13, 2025 to Mar 28, 2025
- Advisory employees · 1,127 to 1,054Feb 13, 2025 to Mar 28, 2025
- BD registered reps · 1,102 to 1,029Feb 13, 2025 to Mar 28, 2025
- Charity clients · 15 to 12Feb 13, 2025 to Mar 28, 2025
- Corporate clients · 57 to 53Feb 13, 2025 to Mar 28, 2025
- HNW clients · 946 to 980Feb 13, 2025 to Mar 28, 2025
- Individual clients · 43,848 to 41,269Feb 13, 2025 to Mar 28, 2025
- Pension plan clients · 50 to 47Feb 13, 2025 to Mar 28, 2025
- Employees · 1,127 to 1,054Feb 13, 2025 to Mar 28, 2025
- State-registered IARs · 1,127 to 1,054Feb 13, 2025 to Mar 28, 2025
- Other offices · 276 to 260Feb 13, 2025 to Mar 28, 2025
- HNW RAUM · $243M to $270MFeb 13, 2025 to Mar 28, 2025
- Individual RAUM · $1.3B to $1.4BFeb 13, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $1.6B to $1.7BFeb 13, 2025 to Mar 28, 2025
- Pension RAUM · $29.0M to $2.2MFeb 13, 2025 to Mar 28, 2025
- RAUM · $1.6B to $1.7BFeb 13, 2025 to Mar 28, 2025
- Wrap assets (sponsor) · $1.3B to $1.4BFeb 13, 2025 to Mar 28, 2025
- Business name · TRANSAMERICA FINANCIAL ADVISORS, INC. to TRANSAMERICA FINANCIAL ADVISORS, LLCAug 28, 2024 to Jan 21, 2025
- HQ city · ST PETERSBURG to PHILADELPHIAAug 28, 2024 to Jan 21, 2025
- HQ state · FL to PAAug 28, 2024 to Jan 21, 2025
Signals
60 dated events
- Rafael Mora no longer holds an investment adviser registration (last listed at Transamerica Financial Advisors, Llc on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Ayelet Bisson registered as an investment adviser representative at Transamerica Financial Advisors, LlcSep 16, 2026 · Advisor registered · fact
- Eric Min Wang left Transamerica Financial Advisors, LLC for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-09-14)Sep 16, 2026 · Advisor changed firm · fact
- Micah Lee Davidson no longer holds an investment adviser registration (last listed at Transamerica Financial Advisors, Llc on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Justin W Hill registered as an investment adviser representative at Transamerica Financial Advisors, LlcSep 14, 2026 · Advisor registered · fact
- Bernard Laryea registered as an investment adviser representative at Transamerica Financial Advisors, LlcSep 14, 2026 · Advisor registered · fact
- Samuel Joe Sturt left Transamerica Financial Advisors, Llc for Lpl Financial Llc (registered 2026-07-01)Jul 2, 2026 · Advisor changed firm · fact
- Brenda Simson left Transamerica Financial Advisors, Llc for Founders Financial Securities, Llc (registered 2026-06-26)Jun 29, 2026 · Advisor changed firm · fact
- Raymond Lamar Brown left Transamerica Financial Advisors, Llc for Keystone Wealth Advisors, Llc (registered 2026-06-29)Jun 26, 2026 · Advisor changed firm · fact
- Shirley Si Cheng left Transamerica Financial Advisors, Llc for Summit Global Investments, Llc (registered 2026-06-24)Jun 22, 2026 · Advisor changed firm · fact
- Lina Kuang-Chan left Transamerica Financial Advisors, Llc for Summit Global Investments, Llc (registered 2026-07-08)Jun 22, 2026 · Advisor changed firm · fact
- Raymond Hao Wong left Transamerica Financial Advisors, Llc for Summit Global Investments, Llc (registered 2026-07-09)Jun 18, 2026 · Advisor changed firm · fact
- Ronald Edward Groves left Transamerica Financial Advisors, Llc for Summit Global Investments, Llc (registered 2026-08-12)Jun 17, 2026 · Advisor changed firm · fact
- Lai Mui Chu left Transamerica Financial Advisors, Llc for Summit Global Investments, Llc (registered 2026-06-22)Jun 16, 2026 · Advisor changed firm · fact
- David Cheng left Transamerica Financial Advisors, Llc for Summit Global Investments, Llc (registered 2026-06-24)Jun 12, 2026 · Advisor changed firm · fact
- 5 advisors left Transamerica Financial Advisors, LLC (Norwood, MA) for Summit Global Investments, LLC within 10 daysJun 12, 2026 · Team lift-out · derived
- Spencer Skolout left Transamerica Financial Advisors, Llc for Cetera Investment Advisers Llc (registered 2026-06-15)Jun 1, 2026 · Advisor changed firm · fact
- Jonathan Michael Richard left Transamerica Financial Advisors, Llc for Lpl Financial Llc (registered 2026-06-01)May 29, 2026 · Advisor changed firm · fact
- Shkira Singh left Transamerica Financial Advisors, Llc for Secure Investment Management, Llc (registered 2026-06-11)May 22, 2026 · Advisor changed firm · fact
- Jennifer C Lewis left Transamerica Financial Advisors, Llc for Lpl Financial Llc (registered 2026-05-13)May 12, 2026 · Advisor changed firm · fact
- Delane Robert Schieferstein left Transamerica Financial Advisors, Llc for Cetera Investment Advisers Llc (registered 2026-05-18)Apr 27, 2026 · Advisor changed firm · fact
- Joseph Patrick David Gopez left Transamerica Financial Advisors, Llc for Lpl Financial Llc (registered 2026-04-20)Apr 24, 2026 · Advisor changed firm · fact
- Grant Alexander Rasmussen left Transamerica Financial Advisors, Llc for Advice And Planning Services (registered 2026-05-14)Apr 24, 2026 · Advisor changed firm · fact
- Jason Frank Wetmore left Transamerica Financial Advisors, Llc for Transamerica Retirement Advisors, Llc (registered 2026-04-13)Apr 8, 2026 · Advisor changed firm · fact
- William Charles Billings left Transamerica Financial Advisors, Llc for Your Ia, Llc (registered 2026-04-23)Mar 31, 2026 · Advisor changed firm · fact
- Dennis Charles Koenning left Transamerica Financial Advisors, Llc for Your Ia, Llc (registered 2026-04-06)Mar 27, 2026 · Advisor changed firm · fact
- Derrick Choi left Transamerica Financial Advisors, Llc for Your Ia, Llc (registered 2026-05-01)Mar 26, 2026 · Advisor changed firm · fact
- Alan Choi left Transamerica Financial Advisors, Llc for Your Ia, Llc (registered 2026-04-10)Mar 24, 2026 · Advisor changed firm · fact
- 2 advisors left Transamerica Financial Advisors, LLC (Braintree, MA) for Your IA, LLC within 2 daysMar 24, 2026 · Team lift-out · derived
- Serria Tawan Rego left Transamerica Financial Advisors, Llc for Lpl Financial Llc (registered 2026-03-16)Mar 16, 2026 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- InterSecurities, Inc. · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/transamerica-financial-advisors-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- TFACONNECT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 770-248-3271reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026