TRANSAMERICA RETIREMENT ADVISORS, LLC of CEDAR RAPIDS, IA is an SEC-registered investment adviser (CRD 107319). Regulatory assets under management: $18.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: High net worth, Pooled vehicles, Pensions.
Showing 25 of 34 people.
| Name | Role | Location |
|---|---|---|
| Brian Beitzel | TREASURER | — |
| Jay Allen Hewitt | VICE PRESIDENT AND MANAGER | — |
| Gregg William Holgate | MANAGER | — |
| Mark Judson Powers | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| Enna Maria Calvi | TREASURER | — |
| Jason Scott Frain | PRESIDENT AND MANAGER | — |
| Joshua Daniel Rundle | PRESIDENT AND MANAGER | — |
| MULLIN PETER WILLIAM | CHIEF EXECUTIVE OFFICER & DIRECTOR; PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR | — |
| JUNG KERRY ANNE | VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY; VICE PRESIDENT, GENERAL COUNSEL & ASSISTANT SECRETARY | — |
| RESNIK RICKY BART | CHIEF COMPLIANCE OFFICER; DIRECTOR; VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER (+2 more) | — |
| VARGAS COLETTE | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER; VICE PRESIDENT & CHIEF FINANCIAL OFFICER | — |
| COLBY ROBERT FRED | SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY & DIRECTOR | — |
| KUNKEL PETER GREGORY | PRESIDENT, CHIEF EXECUTIVE OFFICER, TREASURER & DIRECTOR; PRESIDENT, TREASURER & CHIEF OPERATING OFFICER; SENIOR VICE PRESIDENT, TREASURER & CHIEF OPERATING OFFICER | — |
| KATZ GERALD LEWIS | DIRECTOR | — |
| ADVANEY PATRICIA | SENIOR VICE PRESIDENT, INVESTMENTS; VICE PRESIDENT, INVESTMENTS | — |
| BELANGER ELIZABETH LYNN | SECRETARY & DIRECTOR | — |
| ANTES LEN JOESEPH | VICE PRESIDENT & CHIEF INVESTMENT OFFICER | — |
| RYAN TARA COLLEEN | SECRETARY | — |
| CARUSONE JOSEPH PETER | TREASURER; VICE PRESIDENT, MANAGER AND TREASURER; VICE PRESIDENT, MANAGER & TREASURER (+1 more) | — |
| NOYES WILLIAM ALFRED | PRESIDENT, TREASURER & DIRECTOR; VICE PRESIDENT; VICE- PRESIDENT | — |
| HOCKING ALICE | CHIEF OPERATING OFFICER | — |
| CAHN MARC HUNTER | SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY & DIRECTOR | — |
| ECKMAN PHILIP SHERMAN | PRESIDENT & CHIEF EXECUTIVE OFFICER & CHAIRMAN OF THE BOARD; PRESIDENT & DIRECTOR; PRESIDENT & MANAGER | — |
| SMIT MARIJN PAUL | SENIOR VICE PRESIDENT | — |
| BRESNAHAN TIMOTHY JEREMIAH | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-01-17 | regulatory | ON JANUARY 17, 2025, THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION ("SEC") ISSUED AN ORDER INSTITUTING AND SIMULTANEOUSLY SETTLING THAT ADMINISTRATIVE PROCEEDING ("ORDER") AGAINST TRA REGARDING THE FIRM'S FAILURE TO DISCLOSE CERTAIN CONFLICTS OF INTEREST THAT IT PAID INCENTIVE COMPENSATION TO… | Final | $2.9M |
| — | regulatory | — | — | — |