Transamerica Financial Advisors, LLC

Registered investment adviser · Philadelphia, PA · CRD #16164

Form ADV data as of 2026-09-01

Regulatory assets

$2.11 billion

Total accounts

42,735

Employees

991

Disclosure events

Firm details

Website: https://x.com/transamericatfa
Telephone: 770-248-3271
SEC file number: 801-38618
Most recent Form ADV filing: 2026-03-31
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 5 disclosure questions answered Yes, covering 9 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
A self-regulatory organization found a false statement or omission
A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$1.66 billion
Non-discretionary regulatory assets under management	$443.5 million
Total regulatory assets under management	$2.11 billion
Discretionary accounts	21,918
Non-discretionary accounts	20,817
Total accounts	42,735
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	991
Employees performing investment advisory functions (including research)	991
Employees who are registered representatives of a broker-dealer	969
Employees registered as investment adviser representatives with a state	991
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	991
Firms or persons who solicit advisory clients on the firm's behalf	1

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under management

Advisory services offered

Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agent

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Commodity pool operator or commodity trading advisorTrust companyInsurance company or agencyPension consultantReal estate broker or dealerSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	41,279	$1.64 billion
High net worth individuals	1,218	$420.3 million
Pension and profit sharing plans (not the participants or government plans)	68	$23.9 million
Charitable organizations	11	$2.5 million
Corporations or other businesses not listed above	67	$13.2 million
Other	92	$2.7 million