Lei Shi
Lei Shi is a registered investment advisor at Transamerica Financial Advisors, LLC, based in Gaithersburg, MD, with 28 years of industry experience. Lei operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 42,440 clients with $1.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Transamerica Financial Advisors (TFA) offers several investment management programs, including:
- Third-Party Money Management Programs: TFA Advisors can connect you with third-party money managers (TPMMs) who manage model portfolios. Fees are specific to the TPMM you select.
- Transamerica® ONE Wealth Management Platform: This is a wrap fee program with a single fee for services. The total annual program fee does not exceed 2.0%.
- Transamerica® ALPHA Digital Investment Program: This program uses Betterment's platform. The total annual advisory fee ranges from 0.65% to 0.95%.
- TFA365 Advisory Program: This is a wrap fee program. The total annual program fee does not exceed 2.75%. A minimum annual account fee applies to accounts that fall below the program account minimum. For the Strategist Program and the Unified Managed Account Program, the minimum annual account fee is $35 (account minimum: $25,000). For the Separately Managed Account Program, the minimum annual account fee is $150 (account minimum: $100,000).
Location
9801 Washingtonian Blvd, Suite 700, Gaithersburg, MD, 20878
Get directionsHistory
Regulatory History (1)
Customer Dispute
January 2002Other Business ActivitiesSells Insurance
Lei sells insurance and non-insurance products for companies affiliated with Transamerica Financial Advisors, dedicating minimal time to this. Lei is also the President and Owner of Financial Training Inc., a pass-through company for accounting purposes, but spends no time working for it.
Employment History
Current Registrations
Transamerica Financial Advisors, LLC
Transamerica Financial Advisors, LLCBroker
Previous Registrations
Investment Advisors International, INC.
World Group Securities, INC.Broker
Wma Securities, INC.Broker
State Registrations46 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.