TRANSAMERICA RETIREMENT ADVISORS, LLC
Adviser information for TRANSAMERICA RETIREMENT ADVISORS, LLC last updated from Form ADV on March 29th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 333 |
|---|---|
| Investment Advisory/Research | 126 |
| Registered Broker-Dealer Representatives | 294 |
| Registered State Investment Advisers | 249 |
| Licensed Agents of an Insurance Company | 126 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 103,932 | $4.8B |
| Non-Discretionary | 56,471 | $7.8B |
| Total | 160,403 | $12.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 160,382 | $11.4B |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 21 | $1.3B |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-42910 |
|---|---|
| SEC ERA File Number | 801-42910 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107319 |
| Legal Entity Identifier | None |
Principal Office
408 SAINT PETER STREETSUITE 210
ST PAUL
MN
United States
Monday - Friday, 9:00 A.M. - 4:30 P.M.
Tel: 866-368-0566, Fax: None
Websites
Chief Compliance Officer
RICK RESNIK
440 MAMARONECK AVE
HARRISON
NY
United States
Tel:
9146273567
R**********@***************M
(Full email address available in API data)
Regulatory Contact
MARK POWERS
440 MAMARONECK AVENUE
HARRISON
NY
United States
Tel:
914-627-3805
M**********@***************M
(Full email address available in API data)
Industry Affiliates
| AEGON ASSET MANAGEMENT US | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TRANSAMERICA ASSET MANAGEMENT, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TRANSAMERICA CAPITAL, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY | Insurance company or agency |
| TRANSAMERICA INVESTORS SECURITIES CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| TRANSAMERICA LIFE INSURANCE COMPANY | Insurance company or agency |
| TRANSAMERICA RETIREMENT INSURANCE AGENCY, INC. | Insurance company or agency |
| TRANSAMERICA TRUST COMPANY | Trust company |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| AEGON LTD | Foreign Entity | AEGON INTERNATIONAL B.V. | SH | 10/1936 | > 75% |
| AEGON INTERNATIONAL B.V. | Foreign Entity | TRANSAMERICA CORPORATION | SH | 10/1936 | > 75% |
| AUSA HOLDING, LLC | Domestic Entity | TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SH | 06/1986 | > 75% |
| TRANSAMERICA CORPORATION | Domestic Entity | AUSA HOLDING, LLC | SH | 12/2004 | > 75% |
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | Domestic Entity | – | SH | 07/2011 | > 75% |
| CARUSONE, JOSEPH, PETER | Individual | – | VICE PRESIDENT, MANAGER AND TREASURER | 10/2013 | < 5% |
| HEWITT, JAY, ALLEN | Individual | – | VICE PRESIDENT AND MANAGER | 09/2016 | < 5% |
| RESNIK, RICKY, BART | Individual | – | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 06/2019 | < 5% |
| JUNG, KERRY, ANNE | Individual | – | VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY | 03/2021 | < 5% |
| Rundle, Joshua | Individual | – | PRESIDENT AND MANAGER | 09/2022 | < 5% |