TRANSAMERICA FINANCIAL ADVISORS, INC.

HTTP://WWW.TFACONNECT.COM ST. PETERSBURG, FL Investment Advisor How do I update this listing?

Transamerica Financial Advisors is based out of St. Petersburg. Transamerica Financial Advisors is a large advisory firm with 45703 clients and discretionary assets under management (AUM) of $761,612,458 (Form ADV from 2019-03-31). Their last reported 13F filing for Q3 2019 included $7,862,000 in managed 13F securities and a top 10 holdings concentration of 59.29%. Transamerica Financial Advisors's largest holding is Vanguard Large-Cap ETF with shares held of 10,190. Whalewisdom has at least 40 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $7.862 Million
  • Prior Market Value $463.455 Million
  • New Purchases13 stocks
  • Additional Purchases9 stocks
  • Sold out of486 stocks
  • Reduced holdings in72 stocks
  • Top 10 Holdings % 59.29 %
  • Turnover % [1]:530.85%
  • Turnover Alt % [2]: 5,800.56 %
  • Time Held Top20:12.00 quarters
  • Time Held Top10:9.00 quarters
  • Time Held All:20.07 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 3.61%
Performance Last 4 Quarters: 6.24%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR/A (Subscription required)
  • 2012-06-30 - 13F-HR/A (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR/A (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
Betterment LLC

View Last Form Adv Compilation Report on Record

TRANSAMERICA FINANCIAL ADVISORS, INC.
570 CARILLON PARKWAY
ST PETERSBURG FL    33716-1202
Country: United States

Business Phone: 727-299-1800
Fax: 800-660-3702
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: DE
Number of employees: 1271
Other Business Activities: broker-dealer,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Commissions
Amount of client funds and securities:
Total Number of Clients: 45703
Amount of client funds and securities by related persons: 33,054,900
Total Number of clients from related persons: 682
Disclosures: 11.C (1),11.C (2),11.C (4),11.C (5),11.D (2),11.D (4),11.E (1),11.E (2)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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TRANSAMERICA FINANCIAL ADVISORS, INC.

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
AUSA HOLDING, LLC OWNER 02/01/1991 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
AEGON USA REALTY ADVISORS, LLC MEMBER direct 2009-10-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2009-10-01
IDEX MANAGEMENT, INC OWNER direct 1959-11-01
AEGON USA INVESTMENT MANAGEMENT INC PARENT direct 1986-02-01
ENDEAVOR MANAGEMENT CO SOLE OWNER OF APPLICANT direct 1991-02-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER direct 1991-02-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 1997-02-01
GREAT COMPANIES LLC OWNER indirect 2000-03-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2009-08-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER direct 2009-10-01
TRANSAMERICA INVESTMENT SERVICES, LLC MEMBER direct 2009-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 2004-02-01 2004-10-20
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01 2009-03-31
INTERSECURITIES, INC. SOLE OWNER OF APPLICANT direct 1991-02-01 2009-08-21
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2009-11-05
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-02-01 2010-03-27
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2010-10-22
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2010-10-22
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER direct 2009-10-01 2010-10-22
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2012-01-13
PRISMA CAPITAL PARTNERS LP OWNER indirect 2009-08-01 2012-03-29
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2009-10-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01 2015-03-02
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2015-09-25
NEXTCAPITAL ADVISERS, INC. STOCKHOLDER indirect 2014-09-01 2015-10-21
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2015-12-04
ROONEY, TERESA JOAN ATTORNEY, ASSISTANT SECRETARY 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. ATTORNEY, ASSISTANT SECRETARY direct 2016-06-01
INTERSECURITIES, INC. VICE PRESIDENT AND COUNSEL direct 1998-09-01 2003-03-31
INTERSECURITIES, INC. VICE PRESIDENT AND SENIOR COUNSEL direct 2003-04-01 2011-06-16
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT AND GENERAL COUNSEL direct 2011-05-01 2016-03-29
CHUANG, GEORGE CHUWANG DIRECTOR, PRESIDENT, CEO & CHAIRMAN OF THE BOARD 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. SENIOR VICE PRESIDENT & TREASURER direct 2000-09-01
TRANSAMERICA FINANCIAL ADVISORS, INC. PRESIDENT, DIRECTOR direct 2009-01-01
INVESTMENT ADVISORS INTERNATIONAL, INC. INTERIM PRESIDENT direct 2011-06-01
TRANSAMERICA FINANCIAL ADVISORS, INC. DIRECTOR, PRESIDENT, CEO & CHAIRMAN OF THE BOARD direct 2016-06-01
TRANSAMERICA FINANCIAL RESOURCES, INC. VICE PRESIDENT & TREASURER direct 2000-09-01 2005-03-16
INTERSECURITIES, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER direct 2009-04-01 2009-08-21
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER - FINOP direct 2009-04-01 2012-05-31
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT direct 2009-04-01 2014-11-05
TRANSAMERICA FINANCIAL ADVISORS, INC. PRESIDENT direct 2015-02-01 2016-03-29
MILLER, SETH DAVID DIRECTOR 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
INTERSECURITIES, INC. PRESIDENT AND DIRECTOR direct 2009-05-01
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 2015-02-01
TRANSAMERICA FINANCIAL ADVISORS, INC. DIRECTOR direct 2016-06-01
TRIVERS, DAN SHANE CHIEF OPERATIONS OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER direct 1994-11-01
INVESTMENT ADVISORS INTERNATIONAL, INC. VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER direct 2009-10-01
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF OPERATIONS OFFICER direct 2016-05-01
TRANSAMERICA FINANCIAL RESOURCES, INC. VICE PRESIDENT direct 1999-11-01 2003-05-06
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT direct 1994-11-01 2005-03-16
TRANSAMERICA FINANCIAL ADVISORS, INC. SENIOR VICE PRESIDENT direct 1994-11-01 2008-04-11
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF SUPERVISORY OFFICER direct 2011-05-01 2012-01-13
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF SUPERVISORY OFFICER direct 2012-01-01 2016-03-29
AEGON ASSET MANAGEMENT SERVICES, INC. OWNER 01/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER direct 2012-01-01
INVESTMENT ADVISORS INTERNATIONAL, INC. SHAREHOLDER direct 2005-12-01
COMMONWEALTH GENERAL CORPORATION OWNER 09/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER direct 2015-09-01
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 2014-04-01
NISHIMURA, SCOTT TOSHIO DIRECTOR OF WEALTH MANAGEMENT 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. DIRECTOR OF WEALTH MANAGEMENT direct 2016-05-01
JOSEPH, JOHN WARREN DIRECTOR 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
INTERSECURITIES, INC. CHIEF OPERATING OFFICER direct 2007-05-01
TRANSAMERICA FINANCIAL ADVISORS, INC. DIRECTOR direct 2016-06-01
MULLIKIN, BRAD BROOME CHIEF COMPLIANCE OFFICER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. INTERIM CHIEF COMPLIANCE OFFICER direct 2016-07-01
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-10-01
BEITZEL, BRIAN DIRECTOR, CHIEF FINANCIAL OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF FINANCIAL OFFICER direct 2017-01-01
TRANSAMERICA FINANCIAL ADVISORS, INC. DIRECTOR, CHIEF FINANCIAL OFFICER direct 2017-01-01
PERRY, KAREN BARNETT CHIEF SUPERVISORY OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT direct 2006-06-01
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF SUPERVISORY OFFICER direct 2017-04-01
AEGON NV OWNER AEGON INTERNATIONAL B.V. 02/01/1991 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2007-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01
INTERSECURITIES, INC. OWNER indirect 1991-02-01
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1936-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 1969-05-01
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 1969-05-01
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 1991-02-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 1991-02-01
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2007-12-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 1991-02-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2007-12-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-12-01
TRANSAMERICA INVESTMENT SERVICES, INC. OWNER indirect 2007-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2007-12-01
KAMES CAPITAL PLC SHAREHOLDER indirect 2009-09-01
TRANSAMERICA CORPORATION OWNER AUSA HOLDING, LLC 10/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1999-10-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2004-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2004-12-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2004-12-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2004-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2004-12-01
TRANSAMERICA FINANCIAL RESOURCES, INC. OWNER indirect 1999-07-01 2001-06-26
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2004-12-01 2008-08-15
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-12-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01 2015-03-02
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01 2015-09-25
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01 2015-11-10
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1999-10-01 2015-12-04
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01 2016-01-07
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01 2016-01-29
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01 2016-03-30
THE AEGON TRUST OWNER TRANSAMERICA CORPORATION 02/01/1991 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-07-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2004-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2004-12-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2004-12-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2004-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2004-12-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 1986-07-01 2004-10-20
GREAT COMPANIES LLC OWNER indirect 1999-07-01 2005-03-09
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01 2007-01-10
TRANSAMERICA FUND ADVISORS, INC. SH indirect 1986-07-01 2008-03-27
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2004-12-01 2008-08-15
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2004-02-01 2008-09-02
INTERSECURITIES, INC. TRUSTEE indirect 1991-02-01 2009-08-21
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-12-01 2012-03-29
AEGON INTERNATIONAL B.V. TRUSTEE THE AEGON TRUST 02/01/1991 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2007-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. TRUSTEE indirect 1991-02-01
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1936-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC SETTLOR indirect 1986-07-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 2007-12-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2007-12-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-12-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2007-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2007-12-01

TRANSAMERICA FINANCIAL ADVISORS, INC.

ownership team - last updated 2017-09-25
Name Title Start Date Direct/Indirect % Ownership
PERRY, KAREN BARNETT CHIEF SUPERVISORY OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT direct 2006-06-01
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF SUPERVISORY OFFICER direct 2017-04-01
BEITZEL, BRIAN DIRECTOR, CHIEF FINANCIAL OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF FINANCIAL OFFICER direct 2017-01-01
TRANSAMERICA FINANCIAL ADVISORS, INC. DIRECTOR, CHIEF FINANCIAL OFFICER direct 2017-01-01
MULLIKIN, BRAD BROOME CHIEF COMPLIANCE OFFICER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. INTERIM CHIEF COMPLIANCE OFFICER direct 2016-07-01
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-10-01
JOSEPH, JOHN WARREN DIRECTOR 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
INTERSECURITIES, INC. CHIEF OPERATING OFFICER direct 2007-05-01
TRANSAMERICA FINANCIAL ADVISORS, INC. DIRECTOR direct 2016-06-01
NISHIMURA, SCOTT TOSHIO DIRECTOR OF WEALTH MANAGEMENT 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. DIRECTOR OF WEALTH MANAGEMENT direct 2016-05-01
COMMONWEALTH GENERAL CORPORATION OWNER 09/01/2015 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER direct 2015-09-01
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 2014-04-01
AEGON ASSET MANAGEMENT SERVICES, INC. OWNER 01/01/2012 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER direct 2012-01-01
INVESTMENT ADVISORS INTERNATIONAL, INC. SHAREHOLDER direct 2005-12-01
TRIVERS, DAN SHANE CHIEF OPERATIONS OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER direct 1994-11-01
INVESTMENT ADVISORS INTERNATIONAL, INC. VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER direct 2009-10-01
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF OPERATIONS OFFICER direct 2016-05-01
TRANSAMERICA FINANCIAL RESOURCES, INC. VICE PRESIDENT direct 1999-11-01 2003-05-06
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT direct 1994-11-01 2005-03-16
TRANSAMERICA FINANCIAL ADVISORS, INC. SENIOR VICE PRESIDENT direct 1994-11-01 2008-04-11
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF SUPERVISORY OFFICER direct 2011-05-01 2012-01-13
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF SUPERVISORY OFFICER direct 2012-01-01 2016-03-29
MILLER, SETH DAVID DIRECTOR 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
INTERSECURITIES, INC. PRESIDENT AND DIRECTOR direct 2009-05-01
TRANSAMERICA FINANCIAL ADVISORS, INC. CHIEF EXECUTIVE OFFICER direct 2015-02-01
TRANSAMERICA FINANCIAL ADVISORS, INC. DIRECTOR direct 2016-06-01
CHUANG, GEORGE CHUWANG DIRECTOR, PRESIDENT, CEO & CHAIRMAN OF THE BOARD 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. SENIOR VICE PRESIDENT & TREASURER direct 2000-09-01
TRANSAMERICA FINANCIAL ADVISORS, INC. PRESIDENT, DIRECTOR direct 2009-01-01
INVESTMENT ADVISORS INTERNATIONAL, INC. INTERIM PRESIDENT direct 2011-06-01
TRANSAMERICA FINANCIAL ADVISORS, INC. DIRECTOR, PRESIDENT, CEO & CHAIRMAN OF THE BOARD direct 2016-06-01
TRANSAMERICA FINANCIAL RESOURCES, INC. VICE PRESIDENT & TREASURER direct 2000-09-01 2005-03-16
INTERSECURITIES, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER direct 2009-04-01 2009-08-21
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER - FINOP direct 2009-04-01 2012-05-31
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT direct 2009-04-01 2014-11-05
TRANSAMERICA FINANCIAL ADVISORS, INC. PRESIDENT direct 2015-02-01 2016-03-29
ROONEY, TERESA JOAN ATTORNEY, ASSISTANT SECRETARY 06/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. ATTORNEY, ASSISTANT SECRETARY direct 2016-06-01
INTERSECURITIES, INC. VICE PRESIDENT AND COUNSEL direct 1998-09-01 2003-03-31
INTERSECURITIES, INC. VICE PRESIDENT AND SENIOR COUNSEL direct 2003-04-01 2011-06-16
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT AND GENERAL COUNSEL direct 2011-05-01 2016-03-29
AUSA HOLDING, LLC OWNER 02/01/1991 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
AEGON USA REALTY ADVISORS, LLC MEMBER direct 2009-10-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2009-10-01
IDEX MANAGEMENT, INC OWNER direct 1959-11-01
AEGON USA INVESTMENT MANAGEMENT INC PARENT direct 1986-02-01
ENDEAVOR MANAGEMENT CO SOLE OWNER OF APPLICANT direct 1991-02-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER direct 1991-02-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 1997-02-01
GREAT COMPANIES LLC OWNER indirect 2000-03-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2009-08-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-08-01
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER direct 2009-10-01
TRANSAMERICA INVESTMENT SERVICES, LLC MEMBER direct 2009-10-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 2004-02-01 2004-10-20
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-03-01 2009-03-31
INTERSECURITIES, INC. SOLE OWNER OF APPLICANT direct 1991-02-01 2009-08-21
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2009-11-05
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-02-01 2010-03-27
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-10-01 2010-10-22
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2010-10-22
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER direct 2009-10-01 2010-10-22
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2012-01-13
PRISMA CAPITAL PARTNERS LP OWNER indirect 2009-08-01 2012-03-29
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2009-10-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC MEMBER indirect 2009-10-01 2015-03-02
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2009-08-01 2015-09-25
NEXTCAPITAL ADVISERS, INC. STOCKHOLDER indirect 2014-09-01 2015-10-21
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01 2015-12-04
AEGON INTERNATIONAL B.V. TRUSTEE THE AEGON TRUST 02/01/1991 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2007-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. TRUSTEE indirect 1991-02-01
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1936-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC SETTLOR indirect 1986-07-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 2007-12-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2007-12-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-12-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2007-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2007-12-01
THE AEGON TRUST OWNER TRANSAMERICA CORPORATION 02/01/1991 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-07-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2004-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2004-12-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2004-12-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2004-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2004-12-01
PRISMA CAPITAL PARTNERS LP OWNER indirect 1986-07-01 2004-10-20
GREAT COMPANIES LLC OWNER indirect 1999-07-01 2005-03-09
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01 2007-01-10
TRANSAMERICA FUND ADVISORS, INC. SH indirect 1986-07-01 2008-03-27
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2004-12-01 2008-08-15
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2004-02-01 2008-09-02
INTERSECURITIES, INC. TRUSTEE indirect 1991-02-01 2009-08-21
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-12-01 2012-03-29
TRANSAMERICA CORPORATION OWNER AUSA HOLDING, LLC 10/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1999-10-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2004-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2004-12-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2004-12-01
TRANSAMERICA INVESTMENT SERVICES, LLC OWNER indirect 2004-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2004-12-01
TRANSAMERICA FINANCIAL RESOURCES, INC. OWNER indirect 1999-07-01 2001-06-26
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2004-12-01 2008-08-15
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2004-12-01 2012-03-29
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01 2015-03-02
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01 2015-09-25
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01 2015-11-10
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1999-10-01 2015-12-04
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2004-12-01 2016-01-07
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01 2016-01-29
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1986-05-01 2016-03-30
AEGON NV OWNER AEGON INTERNATIONAL B.V. 02/01/1991 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 2007-12-01
TRANSAMERICA FINANCIAL ADVISORS, INC. OWNER indirect 1991-02-01
INTERSECURITIES, INC. OWNER indirect 1991-02-01
TRANSAMERICA ASSET MANAGEMENT, INC. SH indirect 1936-10-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 1969-05-01
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 1969-05-01
AEGON USA INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 1991-02-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
AEGON USA INVESTMENT MANAGEMENT, LLC OWNER indirect 2007-12-01
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 1991-02-01
PRISMA CAPITAL PARTNERS LP SHAREHOLDER indirect 2007-12-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 1991-02-01
INVESTMENT ADVISORS INTERNATIONAL, INC. OWNER indirect 2007-12-01
CLARK INVESTMENT STRATEGIES, INC. SHAREHOLDER indirect 2007-12-01
TRANSAMERICA INVESTMENT SERVICES, INC. OWNER indirect 2007-12-01
AEGON USA REALTY ADVISORS, LLC OWNER indirect 2007-12-01
KAMES CAPITAL PLC SHAREHOLDER indirect 2009-09-01

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