{"url":"https://nivawealth.com/firms/transamerica-retirement-advisors-107319","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/107319","regulatoryAum":18827476086,"crd":"107319","secFileNumber":"801-42910","legalName":"Transamerica Retirement Advisors, LLC","displayName":"Transamerica Retirement Advisors","website":"http://www.transamerica.com","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"6400 C Street SW","city":"Cedar Rapids","state":"IA","stateName":"Iowa","country":"United States","postalCode":"52499"},"tradeNames":[],"registration":{"secApproved":"16 December 1992","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":398,"advisory":173,"brokerDealerReps":336,"insuranceAgents":127,"promoters":0},"aum":{"discretionary":7998704150,"discretionaryAccounts":141576,"nonDiscretionary":10828771936,"nonDiscretionaryAccounts":71146,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":212700,"regulatoryAum":17445832699},{"label":"Pension and profit-sharing plans","clients":22,"regulatoryAum":1381643387}],"fees":[],"feeNotes":[],"custodians":[{"name":"Pershing LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":4026699347},{"name":"State Street Bank and Trust Company","shortName":"State Street Bank and Trust","location":"Boston, MA","smaAssets":7597634529},{"name":"Mid Atlantic Trust Company","shortName":"Mid Atlantic Trust","location":"Pittsburgh, PA","smaAssets":4099788717}],"custodyNote":"Transamerica Retirement Advisors has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jason Frain","title":"President and Manager","crd":"5141625"},{"name":"Jay Hewitt","title":"Vice President and Manager","crd":"1687429"},{"name":"Mark Powers","title":"Vice President and Chief Compliance Officer","crd":"6173588"},{"name":"Brian Beitzel","title":"Treasurer","crd":"6183770"},{"name":"Gregg Holgate","title":"Manager","crd":"2818725"}],"ownership":[{"label":"Transamerica Retirement","detail":"Sh in the 75% or more ownership band and a control person, since July 2011."},{"label":"Transamerica Retirement Solutions, LLC","detail":"Sh in the 75% or more ownership band and a control person, since July 2011."},{"label":"Aegon LTD","detail":"Indirect owner: a sh of Aegon International B.V. in the 75% or more band and a control person, since October 1936.","parent":"Aegon International B.V."},{"label":"Ausa Holding, LLC","detail":"Indirect owner: a sh of Transamerica Retirement Solutions, LLC in the 75% or more band and a control person, since June 1986.","parent":"Transamerica Retirement Solutions, LLC"},{"label":"Transamerica Corporation","detail":"Indirect owner: a sh of Ausa Holding, LLC in the 75% or more band and a control person, since December 2004.","parent":"Ausa Holding, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":173,"privateResidences":24},"listedOfficeAddresses":2,"officesByState":[{"state":"Iowa","offices":1,"addresses":[{"street":"6400 C Street SW","city":"Cedar Rapids","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"440 Mamaroneck Avenue","city":"Harrison"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"866-368-0566","stateRegisteredReps":293,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Educational seminars/workshops"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":10},{"label":"Securities issued by registered investment companies or business development companies","percent":66},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":16},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":7,"detail":"Stable Value and Other Annuity Products"}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/107319/PDF/107319.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Transamerica Retirement Advisors have?","answer":"Transamerica Retirement Advisors has 212,722 clients and manages $18.8 billion for them, as of March 2026. They include 212,700 individuals and 22 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Transamerica Retirement Advisors offer?","answer":"Transamerica Retirement Advisors provides portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Transamerica Retirement Advisors use?","answer":"Transamerica Retirement Advisors’ separately managed account assets are held at State Street Bank and Trust Company (Boston, MA), with $7,597,634,529, Mid Atlantic Trust Company (Pittsburgh, PA), with $4,099,788,717 and Pershing LLC (Jersey City, NJ), with $4,026,699,347. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Transamerica Retirement Advisors have?","answer":"Transamerica Retirement Advisors has 293 investment adviser representatives registered with state securities authorities, out of 398 employees, and 173 perform investment advisory functions. 336 are registered representatives of a broker-dealer and 127 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Transamerica Retirement Advisors invest in?","answer":"At the end of its last fiscal year, Transamerica Retirement Advisors’ separately managed accounts held 66% registered funds (mutual funds, ETFs, BDCs), 16% pooled vehicles (private funds and similar), 10% exchange-traded equities, 7% stable value and other annuity products and 1% cash and equivalents. It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Transamerica Retirement Advisors?","answer":"Transamerica Retirement Advisors is owned through a chain of holding companies by Transamerica Corporation. Its direct owners are Transamerica Retirement (75% or more), Transamerica Retirement Solutions, LLC (75% or more) and Aegon LTD (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Transamerica Retirement Advisors get paid?","answer":"Transamerica Retirement Advisors is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}