Broker-dealer firm · Philadelphia, PA
Transamerica Financial Advisors, LLC
SEC-registered investment adviser · CRD 16164 · SEC 801-38618
At a glance
Transamerica Financial Advisors, LLC is an SEC-registered investment adviser based in Philadelphia, Pennsylvania, with $2.1 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is individuals, and it reports 42,497 individual clients. By Form ADV it is a broker-dealer firm, ranked 127th of 391 broker-dealer firms and 3,521st of 17,210 SEC-registered advisers by assets.
Main office 770-248-3271tfaconnect.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.1B
- Rank among broker-dealer firms
- #127 of 391
- Rank among all SEC RIAs
- #3,521 of 17,210
- Rank in Pennsylvania
- #134 of 564
- Individual clients
- 42,497
- High-net-worth clients
- 1,218
- Accounts
- 42,735
- Discretionary
- 79% of AUM
- Employees
- 991
- Advisory staff
- 991
- Offices
- 261
Owners and executives on its Form ADV
- Brian BeitzelDirector, Chief Financial Officer
- Christina D KramerChief Compliance Officer
- Michelle Anne BarryDirector, President, CEO, Chief Supervisory Officer
- Robert CostelloChief Operations Officer
Custody and brokerage
Custodian
Transamerica Financial Advisors, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Transamerica Financial Advisors, LLC is a hybrid RIA: 969 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Transamerica Capital, LLC and Transamerica Investors Securities, LLC.
- Transamerica Capital, LLC ↗CRD 8217
- Transamerica Investors Securities, LLC ↗CRD 32205
Its Form ADV brochure (filed March 2026) names Transamerica Financial Advisors as the broker-dealer its advisers are registered with.
TFA’s advisory services are made available to cl ients through individuals registered with TFA as IARs.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 41,279 | $1.6B | 78% |
| High-net-worth individuals | 1,218 | $420M | 20% |
| Pension and profit sharing plans | 68 | $24M | 1% |
| Corporations or other businesses | 67 | $13M | <1% |
| Other | 92 | $3M | <1% |
| Charitable organizations | 11 | $3M | <1% |
Disciplinary disclosures
Transamerica Financial Advisors, LLC answers yes to 9 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Selecting other advisers
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗tfaconnect.com ↗
SEC and FINRA actions
- SEC, Aug 12, 2026Fiduciary duty and conflicts. Outcome in the release.Official release
AtlasMembers
The full record on Transamerica Financial Advisors, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 97 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Transamerica Financial Advisors, LLC manage?
Transamerica Financial Advisors, LLC reports $2.1 billion in regulatory assets under management across 42,735 accounts, 79% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Transamerica Financial Advisors, LLC?
Transamerica Financial Advisors, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. A public reporting company controls it.
Who are Transamerica Financial Advisors, LLC’s clients?
By assets, its largest client types are individuals ($1.6 billion, 41,279 clients); high-net-worth individuals ($420 million, 1,218 clients); pension and profit sharing plans ($24 million, 68 clients).
Does Transamerica Financial Advisors, LLC have any disciplinary history?
Transamerica Financial Advisors, LLC answers yes to 9 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Transamerica Financial Advisors, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →