Transamerica Financial Resources, Inc. (Los Angeles)

Transamerica Financial Resources, Inc. is a large advisory firm based in Los Angeles. It manages $220 million of regulatory assets for 900 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arkansas, and 29 other states.

Transamerica Financial Resources provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Transamerica Financial Resources: assets under management

The assets under management (AUM) of Transamerica Financial Resources, Inc. is $220 million. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Transamerica Financial Resources, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Transamerica Financial Resources, Inc.

Ronald Franklin Wagley has been acting as President since 1 Apr 1994. Naomi Anne Nagy joined the executive team most recently as the Vice President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Transamerica Ins. Corp.	Owner	1 Aug 1967	75% - 100%	95-2634355
Ronald Franklin Wagley	Director	1 Apr 1994	Other	456309
Mary Canete	Assistant treasurer	1 Jul 1996	Other	2209625
Naomi Anne Nagy	Srop	1 Jun 1998	Other	1034083
Dan S Trivers	Vice president	1 Nov 1999	Other	1948553
Sandra Chappell Brown	President	1 Nov 1999	Other	2088836
Daniel Cesar Caneva	Vice president & chief compliance officer	1 Mar 2000	Other	1686099
Daniel Cesar Caneva	Secretary	1 Apr 2000	Other	1686099
Sandra Chappell Brown	Chief operating officer, chairperson of the board & director	1 May 2000	Other	2088836
Karen Mac Donald	Director	1 May 2000	Other	xxx-xx-xxxx
William Hartwell Tate	Director	1 May 2000	Other	1761315
George Chuwang Chuang	Vice president & treasurer	1 Sep 2000	Other	3162477
Naomi Anne Nagy	Vice president	1 Oct 2000	Other	1034083
Kenneth Patrick Kilbane	Director	1 Oct 2000	Other	3187382
Mark Terence Lake	Vice president	1 Oct 2000	Other	1295888
Daniel Cesar Caneva	Crop	1 Oct 2000	Other	1686099

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Transamerica Corporation	Owner	1 Jul 1999	75% - 100%	42-1484983
N.V. Aegon	Owner	1 Jul 1999	75% - 100%	foreign

Based in Los Angeles

The principal office where Transamerica Financial Resources, Inc. performs its advisory services is located at 1150 S Olive St, Los Angeles, CA 90015, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 213-741-7702 or by fax 213-742-2610. The normal business hours are 6:30a.m.-5:00p.m. on Monday - Friday.