Wealth manager, independent · Monrovia, CA
Transglobal Advisory, LLC
SEC-registered investment adviser · CRD 168709 · SEC 801-129096
At a glance
Transglobal Advisory, LLC is an SEC-registered investment adviser based in Monrovia, California, with $58 million in regulatory assets under management as of its Form ADV filed September 23, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 114 individual clients. By Form ADV it is a wealth manager, ranked 8,505th of 8,915 wealth managers and 15,823rd of 17,210 SEC-registered advisers by assets.
Main office 626-447-7888transglobaladvisory.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $58M
- Rank among wealth managers
- #8,505 of 8,915
- Rank among all SEC RIAs
- #15,823 of 17,210
- Rank in California
- #1,753 of 1,873
- Individual clients
- 114
- High-net-worth clients
- 15
- Accounts
- 193
- Discretionary
- 100% of AUM
- Employees
- 32
- Advisory staff
- 31
- Offices
- 16
Owners and executives on its Form ADV
- Philip C. HuChief Executive Officer
- Shiou-Ing D. LiouShareholder
- Zhuoli WangChief Compliance Officer
- Michael J. LiaoChief Investment Officer & Chief Operations Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Transglobal Advisory, LLC is a hybrid RIA: 21 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Globalink Securities, Inc..
- Globalink Securities, Inc. ↗CRD 29721
An introducing broker-dealer: its trades clear through Interactive Brokers and Wedbush, which hold the brokerage accounts. Its annual audited report filed with the SEC, February 2026
Its Form ADV brochure (filed March 2026) names Globalink Securities as the broker-dealer its advisers are registered with.
Therefore, many supervised persons of TGA are registered representatives of Globalink Securities, Inc. and receive compensation for the sale of securities.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 15 | $29M | 50% |
| Individuals | 99 | $18M | 31% |
| Pension and profit sharing plans | 62 | $10M | 16% |
| Corporations or other businesses | 16 | $2M | 3% |
| Charitable organizations | 1 | $0M | <1% |
Disciplinary disclosures
Transglobal Advisory, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗transglobaladvisory.com ↗
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The full record on Transglobal Advisory, 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, 2 years of filings
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- Growth over one, three and five years
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- Rank against 2,425 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 Transglobal Advisory, LLC manage?
Transglobal Advisory, LLC reports $58 million in regulatory assets under management across 193 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 23, 2026.
What kind of firm is Transglobal Advisory, LLC?
Transglobal Advisory, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Transglobal Advisory, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($29 million, 15 clients); individuals ($18 million, 99 clients); pension and profit sharing plans ($10 million, 62 clients).
Does Transglobal Advisory, LLC have any disciplinary history?
Transglobal Advisory, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Transglobal Advisory, 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 (2026-09-23), 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 →