SEC-registered wealth management firm Broker-dealer affiliated
Transamerica Financial Advisors, LLC
As of its Form ADV filed March 31, 2026, Transamerica Financial Advisors, LLC, an SEC-registered, broker-dealer affiliated wealth management firm in Philadelphia, Pennsylvania, reported $2.1 billion in regulatory assets under management across 42,735 accounts, ranking #52 among all wealth firms in Pennsylvania by assets.
Registration
- Main office
- Philadelphia, PA
- Registration
- SEC-registered, Approved
- CRD number
- 16164
- SEC file number
- 801-38618
- Registered since
- May 16, 1991
- Latest Form ADV filing
- March 31, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 260
Key figures
- Regulatory assets under management
- $2.1 billion
- Discretionary
- $1.7 billion (78.9%)
- Non-discretionary
- $443.5 million
- Accounts
- 42,735 (21,918 discretionary)
- Clients
- 42,735, approximate as reported
- Employees
- 991
- Advisory staff
- 991 performing investment advisory functions
- Average account
- $49,296
- Asset growth, 1 year
- 21.7% (from $1.7 billion a year earlier)
- Asset growth, 3-year annual rate
- 5.1% (from $1.8 billion three years earlier)
- Asset growth, 5-year annual rate
- 0.3% (from $2.1 billion five years earlier)
- Client growth, 1 year
- 0.7% (from 42,440)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $1.9 billion |
| October 3, 2011 | $2.3 billion |
| October 1, 2012 | $2.7 billion |
| October 1, 2013 | $3.1 billion |
| October 1, 2014 | $4.1 billion |
| October 1, 2015 | $4.7 billion |
| October 3, 2016 | $4.5 billion |
| October 2, 2017 | $969.4 million |
| October 1, 2018 | $972.5 million |
| October 1, 2019 | $1.0 billion |
| October 1, 2020 | $1.3 billion |
| October 4, 2021 | $2.1 billion |
| October 3, 2022 | $1.8 billion |
| October 5, 2023 | $1.8 billion |
| October 1, 2024 | $1.6 billion |
| September 2, 2025 | $1.7 billion |
| October 2, 2026 | $2.1 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 41,279 clients | $1.6 billion | |
| High net worth individuals 1,218 clients | $420.3 million | |
| Pension and profit sharing plans 68 clients | $23.9 million | |
| Corporations or other businesses 67 clients | $13.2 million | |
| Other 92 clients | $2.7 million | |
| Charitable organizations 11 clients | $2.5 million |
How the firm is paid
- A percentage of assets under management
Advisory services
- Portfolio management for individuals or small businesses
- Selection of other advisers
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Commodity pool operator or commodity trading advisor
- Trust company
- Insurance company or agency
- Pension consultant
- Real estate broker, dealer or agent
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 1,121
- Also registered through a broker-dealer
- 1,080
- Employees who are IARs (Form ADV 5.B(3))
- 991
Designations held by the firm's IARs: CFP 21, ChFC 11, CFA 9, PFS 4.
Between 362 and 947 of the firm's 1,121 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 5 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Pennsylvania
| Firm | City | RAUM |
|---|---|---|
| Stonebridge Financial Group, LLC | Wormleysburg | $2.3 billion |
| Ethos Financial Group, LLC | King of Prussia | $2.1 billion |
| Quadrant Private Wealth Management, LLC | Center Valley | $2.1 billion |
| Conservest Capital Advisors Inc | Wynnewood | $1.9 billion |
| DT Investment Partners, LLC | Chadds Ford | $1.9 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Transamerica Financial Advisors, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.tfaconnect.com
- Wealth management firms in Pennsylvania
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.