Brookfield, WI Office
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Transamerica Financial Advisors
Enterprise
Firm-wide stats for Transamerica Financial Advisors
About
Transamerica Financial Advisors serves a broad client base that includes individual investors (including high‑net‑worth clients), pension and profit‑sharing plans, trusts, estates, charitable organizations, and corporations. The firm offers both advisory and broker‑dealer services: fee‑based wrap programs and model portfolios (TFA365, Transamerica ONE, Transamerica ALPHA), access to third‑party money managers, and commission‑based insurance and brokerage products.
TFA delivers advice through a mix of proprietary model suites (including Transamerica I‑Series) and a range of third‑party model managers, with program choices that can be discretionary (managed on clients’ behalf) or non‑discretionary depending on the platform and manager. As of December 31, 2025, TFA reported roughly $1.66 billion in discretionary AUM and $443.5 million in non‑discretionary AUM, and client relationships are reviewed at least annually with program‑specific trading and custodial arrangements.
Compared with many large enterprise advisers, TFA is distinctive in operating concurrently as a registered broker‑dealer and as an RIA and in maintaining affiliated retirement and recordkeeping entities (e.g., Transamerica Retirement Solutions and related affiliates) that support plan clients. The firm also offers securities‑backed lending and a bank deposit sweep as platform features with disclosed revenue‑sharing arrangements, and it has been subject to SEC and FINRA enforcement settlements in the past decade related to share‑class disclosures, model issues, and supervisory matters.
Based on Transamerica Financial Advisors
Expertise
Based on Transamerica Financial Advisors
Location
13400 Bishops Lane, Suite 75
Brookfield WI 53005
Advisors at this office
3
Advisors at this office
Baoqing L
Series 63, Series 65
Brookfield, WI
Transamerica Financial Advisors
Baoqing Li is a financial advisor with Transamerica Financial Advisors, holding Series 63 and Series 65 credentials and bringing 24 years of industry experience. Li has held various roles in healthcare insurance and financial education organizations, including BlueCross BlueShield Illinois and Wall Street to Main Street Financial Education Inc., where he serves as president. He is involved in activities related to tax planning and occasionally assists clients with health insurance needs. Transamerica Financial Advisors serves a diverse client base including individual investors, pension plans, trusts, and corporations, offering both advisory and broker-dealer services through proprietary model portfolios and third-party money managers. The firm manages a mix of discretionary and non-discretionary assets and provides additional services such as securities-backed lending and bank deposit sweeps.
Xinzi Y
Series 65, Series 63
Brookfield, WI
Transamerica Financial Advisors
Xinzi Yuan is a financial advisor at Transamerica Financial Advisors with 10 years of industry experience. She holds Series 63 and Series 65 licenses and has a background in accounting and tax preparation through her work with Accounting & Financial Services LLC and Lida Accounting Service LLC. Yuan is active in community service, serving on the board of the Wisconsin Chinese Chamber of Commerce and volunteering with AARP to provide tax preparation assistance to low-income taxpayers. Transamerica Financial Advisors serves a broad client base, including individual investors, pension plans, trusts, and charitable organizations. The firm offers both advisory and broker-dealer services, delivering investment advice through proprietary and third-party model portfolios with discretionary and non-discretionary options.
Zhenxiang D
Series 63, Series 65
Brookfield, WI
Transamerica Financial Advisors
Zhenxiang Du is a financial advisor with Transamerica Financial Advisors who holds Series 63 and Series 65 licenses and has nine years of industry experience. His prior work includes roles at Medicomp Inc and Kelly Services Global LLC, and he is the owner of Uyghur Grill LLC, a mobile food service business. Transamerica Financial Advisors serves a diverse client base including individual investors, pension plans, trusts, and corporations, offering advisory and broker-dealer services through proprietary and third-party model portfolios with both discretionary and non-discretionary options.
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