TRANSAMERICA ASSET MANAGEMENT, INC. of DENVER, CO is an SEC-registered investment adviser (CRD 107376). Regulatory assets under management: $65.9B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Investment cos, Other.
Showing 25 of 52 people.
| Name | Role | Location |
|---|---|---|
| John Lawrence Reifsnider | CHIEF INVESTMENT OFFICER, SENIOR VICE PRESIDENT, DIRECTOR | Boston, MA |
| Scott J Charles | DIRECTOR; PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR | Vancouver, A1 |
| Scott Charles | DIRECTOR; PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR | NEW YORK, NY |
| Christopher Alan Staples | SENIOR VICE PRESIDENT | — |
| Marijn Paul Smit | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | — |
| Dennis Patrick Gallagher | CHIEF LEGAL OFFICER, ASSISTANT SECRETARY | — |
| Michael Joseph Madden | CHIEF ACCOUNTING OFFICER, TREASURER | — |
| Joshua Wesley Durham | CHIEF OPERATING OFFICER, DIRECTOR, SENIOR VICE PRESIDENT | — |
| Byron Douglas Hittle | CHIEF COMPLIANCE OFFICER | — |
| Thomas Robert Wald | CHIEF INVESTMENT OFFICER, SENIOR VICE PRESIDENT, DIRECTOR | — |
| David James Sensenbaugh | CHIEF COMPLIANCE OFFICER | — |
| Francine Judith Rosenberger | CHIEF COMPLIANCE OFFICER | — |
| GALLAGHER CONOR PATRICK | CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER, ASSISTANT SECRETARY; DIRECTOR, SENIOR VICE PRESIDENT, GENERAL COUNSEL, OPERATIONS & SECRETARY (+1 more) | — |
| PORTER ROBERT | SENIOR VICE PRESIDENT & CHIEF INVESTMENT OFFICER, ASSET ALLOCATION | — |
| RESNIK RICKY BART | SR. VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| MADDEN JOSEPH | CHIEF ACCOUNTING OFFICER, TREASURER | — |
| SWANK THOMAS ANTHONY | DIRECTOR, CHAIRMAN, PRESIDENT & CHIEF EXECUTIVE OFFICER | — |
| DAVIS WILLIAM THOMAS | VICE PRESIDENT | — |
| TYLER TANE THERESE | DIRECTOR AND ASSISTANT SECRETARY; DIRECTOR, VICE PRESIDENT, ASSOCIATE GENERAL COUNSEL, CHIEF LEGAL OFFICER AND SECRETARY | — |
| NORMAN LARRY NEIL | CHAIRMAN & DIRECTOR | — |
| MORIARTY THOMAS RAYMOND | EXECUTIVE VICE PRESIDENT | — |
| GEIGER WILLIAM HAROLD | SECRETARY | — |
| HAMILTON ANTHONY JOHN | VICE PRESIDENT & CONTROLLER; VICE PRESIDENT & TREASURER | — |
| NELSON DOUGLAS | ASSISTANT GENERAL COUNSEL | — |
| CARTER JOHN KINNLEY | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER & PRESIDENT; DIRECTOR, CHIEF EXECUTIVE OFFICER & PRESIDENT; DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER & SECRETARY (+4 more) | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-06-29 | regulatory | ON SEPTEMBER 12, 2023, TRANSAMERICA ASSET MANAGEMENT, INC. (TAM) ENTERED INTO A SETTLEMENT WITH THE NATIONAL FUTURES ASSOCIATION (NFA) RELATING TO A COMPLAINT ISSUED BY THE BUSINESS CONDUCT COMMITTEE OF THE NFA ALLEGING THAT TAM VIOLATED AN NFA RULE. THE COMPLAINT ISSUED ON JUNE 29, 2023 ALLEGED THA… | Final | $140K |
| 2020-09-30 | regulatory | ON SEPTEMBER 30, 2020, TRANSAMERICA ASSET MANAGEMENT, INC. (TAM), THE INVESTMENT MANAGER OF THE FUNDS, ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION (SEC) RELATING TO EXPENSE RECAPTURES. THE RECAPTURES AT ISSUE, WHICH TAM SELF-REPORTED TO THE SEC, INVOLVED AMOUNTS PREVIOUSLY… | Final | — |
| 2018-08-27 | regulatory | ON AUGUST 27TH, 2018 THE SEC INSTITUTED A SETTLED PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDING NAMING TRANSAMERICA ASSET MANAGEMENT, INC AND CERTAIN OF ITS AFFILIATES. THE ORDER PERTAINS TO EVENTS DURING THE PERIOD BETWEEN JULY 2011 AND JUNE 2015, AND RELATES TO, AMONG OTHER THINGS, ERRORS… | Final | $10.5M |