TRANSGLOBAL ADVISORY, LLC
Adviser information for TRANSGLOBAL ADVISORY, LLC last updated from Form ADV on February 20th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 34 |
|---|---|
| Investment Advisory/Research | 29 |
| Registered Broker-Dealer Representatives | 22 |
| Registered State Investment Advisers | 28 |
| Licensed Agents of an Insurance Company | 26 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 185 | $39.9M |
| Non-Discretionary | 0 | $0 |
| Total | 185 | $39.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 100 | $21.1M |
| HNW Individuals | 8 | $12.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $1.7M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $1.9M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 5 | $3.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 16 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesADVISORS MAY PROVIDE BROKERAGE PRODUCTS TO CLIENTS |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| TRANSGLOBAL ADVISORY, LLC | TRANSGLOBAL ADVISORY, LLC |
Identifiers
| SEC RIA File Number | 801-129096 |
|---|---|
| SEC ERA File Number | 801-129096 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 168709 |
| Legal Entity Identifier | None |
Principal Office
185 W CHESTNUT AVEMONROVIA
CA
United States
Monday - Friday, 9:00 AM- 5:00 PM
Tel: 626-447-7888, Fax: 626-737-6035
Chief Compliance Officer
YONG WANG
185 W CHESTNUT AVE
MONROVIA
CA
United States
Tel:
(626) 447-7888 EXT. 1057
R*********@**********************M
(Full email address available in API data)
Industry Affiliates
| GLOBALINK SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| TRANSGLOBAL INSURANCE AGENCY, INC. | Insurance company or agency |
| TYPHOS INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| TYPHOS STRUCTURED ALPHA LP | Hedge Fund | $1.7M | $0.5M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HU, PHILIP, CHENGKUO | Individual | – | CHIEF EXECUTIVE OFFICER | 09/2013 | > 75% |
| LIOU, SHIOU-ING, DIANE | Individual | – | SHAREHOLDER | 09/2013 | 10-25% |
| LEE, JOSEPH, HSIOH-TSUEI | Individual | – | COMPLIANCE SUPERVISOR | 06/2022 | < 5% |
| Chen, ChihHan | Individual | – | CHIEF INVESTMENT OFFICER | 03/2021 | < 5% |
| WANG, YONG | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2022 | < 5% |