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

Transglobal Advisory, LLC

Independent wealth managerMonrovia, CaliforniaCRD 168709SEC 801-129096websiteIAPD
Latest filing Jun 17, 2026
First filing on the tape Oct 24, 2023 · 29 filings
SEC status approved since Nov 30, 2023
RAUM
$58.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$47.3M individuals and HNW
Advisors
33
registered through the firm on IAPD
RAUM per advisor
$1.8M
derived; firm RAUM over IAPD count
Employees
28
27 advisory (5.B.1)
Offices
15
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$58.3M as of Jun 17, 2026
Feb 20, 2024$39.9M then
HNW client RAUM$28.9M as of Jun 17, 2026
Feb 20, 2024$12.3M then
State-registered IARs (5.B.3)23 as of Jun 17, 2026
Feb 20, 202428 then
Employees (5.A)28 as of Jun 17, 2026
Feb 20, 202434 then
Private funds1 as of Dec 9, 2025
Feb 20, 20241 then
RAUM +25% over the last fiscal yearIARs 25 to 23offices 14 to 15
Practice profile
derived from the filing of Jun 17, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
RAUM per advisor
$1.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
3derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$302,281derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.8derivedItem 5.A over advisors
Advisors per office
2.1derived16 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
-8.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-17%derived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$28.9M50%
  • Individuals$18.4M31%
  • Pension and profit-sharing plans$9.5M16%
  • Corporations and businesses$1.5M2.6%
  • Charitable organizations$240.0%
Individual clients
99reported
HNW clients
15reported
Pension plan clients
62reported
Charitable clients
1reported
Accounts
193reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
private_client_share=0.81 fund_share=0.0 institutional_share=0.16 related_bd=true related_bank=false bd_reps=21.0derived
Advisors registered through the firm
34 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Philip Chengkuo HuCertified Financial PlannerMonrovia, CaSep 12, 201431 y1
Shiou-Ing Diane LiouCertified Financial PlannerMonrovia, CaSep 12, 201425 y0
Pay-Min Irene ChangCertified Financial PlannerMonrovia, CaSep 12, 201433 y0
Bill Jian-Ting LiauMonrovia, CaAug 20, 201911 y0
Xin GuoMonrovia, CaMar 12, 202010 y0
Erhwei HuangMonrovia, CaJun 23, 202010 y1
Joseph Hsioh-Tsuei LeeMonrovia, CaJan 15, 202138 y7
Sumant Sharad PendharkarLos Altos, Ca Sep 1, 202114 y1
Yong WangCertified Financial PlannerMonrovia, CaSep 7, 202110 y0
Yang Li WuMonrovia, Ca Nov 15, 202110 y0
Chongfen ZhangFremont, Ca Jun 7, 202210 y0
Qi FangMonrovia, CaAug 11, 202210 y0
Yao LuChartered Financial AnalystMonrovia, CaJan 31, 202314 y0
Zhuoli WangPasadena, Ca Mar 16, 202312 y1
Michael Junhua LiaoMonrovia, Ca Mar 16, 202325 y1
Hang DongWorcester, Ma Jul 6, 202310 y1
Shuning LiMonrovia, Ca Aug 18, 202310 y1
Patricia W HarrisCertified Financial PlannerMonrovia, Ca Aug 22, 202317 y1
Shang Chen LuChartered Financial AnalystMonrovia, Ca Nov 22, 202311 y0
Lu YuCertified Financial PlannerMonrovia, CaJul 17, 202512 y1
Jamie HassCertified Financial PlannerCary, Nc Jul 18, 202510 y0
Francis ChoyCertified Financial PlannerHouston, Tx Jul 30, 202512 y1
Jierui ShenCertified Financial PlannerNeedham, Ma Nov 17, 202520 y0
Pingzhi WangCertified Financial PlannerMonrovia, CaNov 18, 202510 y0
Xiaomeng DaiChartered Financial AnalystMonrovia, CaDec 12, 20259 y2
Lin PanChartered Financial AnalystMonrovia, Ca Feb 10, 202621 y0
Jing LiuCertified Financial PlannerMonrovia, Ca Mar 6, 202613 y0
Yu ZhangKing Of Prussia, PaMar 25, 202612 y1
Bin HuangFlushing, NyJun 2, 202612 y0
Yan YanChartered Financial AnalystEdison, NjJun 25, 202611 y0
Jihruey WangCertified Financial PlannerMonrovia, CaJun 30, 202611 y0
Bowen GuanCertified Financial PlannerMonrovia, CaJul 7, 202612 y0
Fangmao YeCertified Financial PlannerBellevue, , WaJul 28, 202610 y0
Youshan Zhao Oviedo, FlSep 16, 202612 y0
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 3.0% of current headcount6 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Typhos Structured Alpha LPHedge Fund$1.7M3Oct 24, 2023
    Owners and control persons
    Schedule A and B, latest filing
    • Chihhan Chen · Chief Investment Officercontrol
      since 03/2021 · owns less than 5%
    • Chengkuo Philip Hu · Chief Executive Officercontrol
      since 09/2013 · owns 75% or more
    • Xiaoxi Chen · Chief Compliance Officer
      since 12/2024 · owns less than 5%
    • Diane Shiou-Ing Liou · Shareholder
      since 09/2013 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Monrovia, Ca · principal2991
    Cary, Nc200
    Offices
    Schedule D 1.F, the 25 largest
    • Bellevue, WA1 employees
    • Cary, NC1 employees
    • Casper, WY1 employees
    • Duluth, GA1 employees
    • Edison, NJ1 employees
    • Flushing, NY1 employees
    • Honolulu, HI1 employees
    • Houston, TX1 employees
    • King Of Prussia, PA1 employees
    • Las Vegas, NV1 employees
    • Naperville, IL1 employees
    • Newton, MA1 employees
    • Plymouth, MI1 employees
    • Rockville, MD1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 226 to 193
      Dec 9, 2025 to Mar 26, 2026
    • Advisory employees · 26 to 27
      Dec 9, 2025 to Mar 26, 2026
    • Advisory activities · 6 to 5
      Dec 9, 2025 to Mar 26, 2026
    • BD registered reps · 20 to 21
      Dec 9, 2025 to Mar 26, 2026
    • Corporate clients · 5 to 16
      Dec 9, 2025 to Mar 26, 2026
    • HNW clients · 10 to 15
      Dec 9, 2025 to Mar 26, 2026
    • Individual clients · 127 to 99
      Dec 9, 2025 to Mar 26, 2026
    • Pension plan clients · 0 to 62
      Dec 9, 2025 to Mar 26, 2026
    • Pooled vehicle clients · 1 to 0
      Dec 9, 2025 to Mar 26, 2026
    • Employees · 29 to 28
      Dec 9, 2025 to Mar 26, 2026
    • Insurance-licensed employees · 0 to 2
      Dec 9, 2025 to Mar 26, 2026
    • State-registered IARs · 25 to 23
      Dec 9, 2025 to Mar 26, 2026
    • Private funds · 1 to unset
      Dec 9, 2025 to Mar 26, 2026
    • Discretionary RAUM · $46.8M to $58.3M
      Dec 9, 2025 to Mar 26, 2026
    • HNW RAUM · $16.8M to $28.9M
      Dec 9, 2025 to Mar 26, 2026
    • Individual RAUM · $24.1M to $18.4M
      Dec 9, 2025 to Mar 26, 2026
    • Pension RAUM · $0 to $9.5M
      Dec 9, 2025 to Mar 26, 2026
    • Pooled vehicle RAUM · $2.8M to $0
      Dec 9, 2025 to Mar 26, 2026
    • RAUM · $46.8M to $58.3M
      Dec 9, 2025 to Mar 26, 2026
    • Other offices · 14 to 15
      Sep 16, 2025 to Dec 9, 2025
    • Advisory employees · 23 to 26
      Jul 31, 2025 to Sep 16, 2025
    • BD registered reps · 18 to 20
      Jul 31, 2025 to Sep 16, 2025
    • Assets in custody · $2.8M to $0
      Jul 31, 2025 to Sep 16, 2025
    • Custody of client assets · true to false
      Jul 31, 2025 to Sep 16, 2025
    • Employees · 25 to 29
      Jul 31, 2025 to Sep 16, 2025
    • State-registered IARs · 22 to 25
      Jul 31, 2025 to Sep 16, 2025
    • Private funds · 2 to 1
      Jul 31, 2025 to Sep 16, 2025
    • Advisory employees · 24 to 23
      Jun 11, 2025 to Jul 31, 2025
    • Employees · 26 to 25
      Jun 11, 2025 to Jul 31, 2025
    • Financial planning clients · 101-250 to 101-250
      Jun 11, 2025 to Jul 31, 2025
    • State-registered IARs · 23 to 22
      Jun 11, 2025 to Jul 31, 2025
    • Advisory employees · 26 to 24
      Mar 12, 2025 to May 16, 2025
    • BD registered reps · 20 to 18
      Mar 12, 2025 to May 16, 2025
    • Employees · 29 to 26
      Mar 12, 2025 to May 16, 2025
    • State-registered IARs · 25 to 23
      Mar 12, 2025 to May 16, 2025
    • Accounts · 185 to 226
      Jan 31, 2025 to Feb 24, 2025
    • Advisory employees · 28 to 26
      Jan 31, 2025 to Feb 24, 2025
    • BD registered reps · 21 to 20
      Jan 31, 2025 to Feb 24, 2025
    • HNW clients · 8 to 10
      Jan 31, 2025 to Feb 24, 2025
    • Individual clients · 100 to 127
      Jan 31, 2025 to Feb 24, 2025
    Signals
    17 dated events
    • Youshan Zhao registered as an investment adviser representative at Transglobal Advisory, Llc
      Sep 16, 2026 · Advisor registered · fact
    • Xiaoxi Chen left Transglobal Advisory, Llc for Advyzon Investment Management, Llc (registered 2026-05-06)
      Jan 12, 2026 · Advisor changed firm · fact
    • Yuha Elsa Tse left Transglobal Advisory, Llc for Avantax Advisory Services (registered 2025-07-29)
      Jul 31, 2025 · Advisor changed firm · fact
    • Sichen Li left Transglobal Advisory, Llc for Edward Jones (registered 2025-05-09)
      May 15, 2025 · Advisor changed firm · fact
    • Kingsley Yu Man Choi left Transglobal Advisory, Llc for Steelpeak Wealth, Llc (registered 2025-01-24)
      Jan 21, 2025 · Advisor changed firm · fact
    • Susan Jen left Transglobal Advisory, Llc for Globalink Wealth Management, Llc (registered 2026-08-03)
      Dec 24, 2024 · Advisor changed firm · fact
    • Hsioh-Tsuei Joseph Lee (Compliance Supervisor) no longer on Schedule A of Transglobal Advisory, Llc (listed 2024-09-18, absent 2024-12-12)
      Dec 12, 2024 · Control person left · inference
    • Rongxia Zhu left Transglobal Advisory, Llc for J.P. Morgan Securities Llc (registered 2024-06-20)
      Jun 13, 2024 · Advisor changed firm · fact
    • Transglobal Advisory, Llc filed its initial SEC registration (Form ADV)
      Oct 24, 2023 · First SEC registration · fact
    • Zupei Yu left Transglobal Advisory, Llc for Edward Jones (registered 2023-10-24)
      Sep 11, 2023 · Advisor changed firm · fact
    • Alan Yang left Transglobal Advisory, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-04-01)
      Jan 4, 2023 · Advisor changed firm · fact
    • Michael Junhua Liao left Transglobal Advisory, Llc for Globalink Wealth Management, Llc (registered 2023-03-16)
      Jun 30, 2022 · Advisor changed firm · fact
    • Michael Horng-Jyh Fang left Transglobal Advisory, Llc for Globalink Wealth Management, Llc (registered 2024-04-08)
      Jun 30, 2022 · Advisor changed firm · fact
    • 2 advisors left Transglobal Advisory, LLC (Monrovia, CA) for Globalink Wealth Management, LLC on the same day
      Jun 30, 2022 · Team lift-out · derived
    • Daniel Wang left Transglobal Advisory, Llc for Charles Schwab & Co., Inc. (registered 2022-03-29)
      Mar 9, 2022 · Advisor changed firm · fact
    • Chunhua Xin left Transglobal Advisory, Llc for Primerica Advisors (registered 2024-01-03)
      Feb 1, 2022 · Advisor changed firm · fact
    • Franklin Myron Hsu left Transglobal Advisory, Llc for Nomad Capital Group, Llc (registered 2021-09-29)
      Feb 1, 2022 · Advisor changed firm · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Firm profile
    linkedin.com/company/transglobal-holding-coreportedpublic record, Form ADV, Sep 17, 2026
    Website
    transglobaladvisory.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    626-447-7888reportedpublic record, Form ADV, Jun 17, 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
    Independent wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $1.8Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026