SEC-registered wealth management firm Broker-dealer affiliated
Transglobal Advisory, LLC
As of its Form ADV filed September 23, 2026, Transglobal Advisory, LLC, an SEC-registered, broker-dealer affiliated wealth management firm in Monrovia, California, reported $58.3 million in regulatory assets under management across 193 accounts, ranking #1398 among all wealth firms in California by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 168709
- SEC file number
- 801-129096
- Registered since
- November 30, 2023
- Latest Form ADV filing
- September 23, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 15
Key figures
- Regulatory assets under management
- $58.3 million
- Discretionary
- $58.3 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 193 (193 discretionary)
- Clients
- 193, approximate as reported
- Employees
- 32
- Advisory staff
- 31 performing investment advisory functions
- Average account
- $302,281
- Asset growth, 1 year
- 24.6% (from $46.8 million a year earlier)
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- 34.0% (from 144)
Broker-dealer affiliated. The firm is affiliated with a broker-dealer (Item 7.A(1)), at least half of its advisory staff are registered representatives of a broker-dealer (Item 5.B(2) against 5.B(1)), and its advisers manage less than $100 million each on average (5.F(2)(c) over 5.B(1)), the pattern of a broker-dealer's advisory arm rather than an adviser that owns a small broker-dealer. 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, 2024 | $39.9 million |
| September 2, 2025 | $46.8 million |
| October 2, 2026 | $58.3 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 15 clients | $28.9 million | |
| Individuals (other than high net worth) 99 clients | $18.4 million | |
| Pension and profit sharing plans 62 clients | $9.5 million | |
| Corporations or other businesses 16 clients | $1.5 million | |
| Charitable organizations fewer than 5 clients | $24 |
How the firm is paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting
- Other
Financial planning clients (Item 5.H): 101-250.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Accountant or accounting firm
- Insurance company or agency
- Real estate broker, dealer or agent
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 33
- Also registered through a broker-dealer
- 20
- Employees who are IARs (Form ADV 5.B(3))
- 28
Designations held by the firm's IARs: CFP 14, CFA 5.
Between 24 and 33 of the firm's 33 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 0 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 California
| Firm | City | RAUM |
|---|---|---|
| Paradigm Asset Management,inc. | Marina del Rey | $58.5 million |
| Maxim Capital Advisors, Inc. | Irvine | $58.5 million |
| Portsalus Wealth Management | Mission Viejo | $58.5 million |
| Cruse Investments | Petaluma | $58.4 million |
| Dorsey Wealth Management, LLC | Torrance | $58.4 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Transglobal Advisory, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.transglobalus.com
- Wealth management firms in California
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.