DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner13 years in industry

SHANE MICHAEL HIGGINS

Advisor at APELLA WEALTH

WEST HARTFORD, CT | Winter Garden, FL | Knoxville, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1fb381f0-5c02-2a29-a9c0-d30d9215326d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Feb 26, 2013 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: APELLA WEALTH
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 23, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Feb 23, 2013
First registration: Feb 26, 2013
Dual registered: no
Other names: SHANE M HIGGINS|SHANE HIGGINS
IAPD individual key: 5994182

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
APELLA WEALTH	Independent wealth	Sep 4, 2026	n/a	yes	Winter Garden, FL\|WEST HARTFORD, CT\|Knoxville, TN	Current employment
DAVID VAUGHAN INVESTMENTS, LLC	Independent wealth	Sep 4, 2024	Aug 28, 2026	no	WINTER PARK, FL\|Winter Garden, FL\|PEORIA, IL	Previous registration
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	Feb 1, 2018	Aug 6, 2024	no	Orlando, FL	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Sep 28, 2016	Jan 11, 2018	no	Altamonte Springs, FL	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Sep 23, 2016	Jan 11, 2018	no	Winter Park, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 18, 2014	Sep 19, 2016	no	APOPKA, FL\|JACKSONVILLE, FL\|APOPKA, FL\|APOPKA, FL\|APOPKA, FL\|ORLANDO, FL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Feb 26, 2013	Mar 5, 2014	no	Orlando, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
DAVID VAUGHAN INVESTMENTS, LLC	APELLA WEALTH	Aug 28, 2026	Sep 4, 2026	7	Firm change	RIA to RIA
SCHWAB WEALTH ADVISORY, INC.	DAVID VAUGHAN INVESTMENTS, LLC	Aug 6, 2024	Sep 4, 2024	29	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	SCHWAB WEALTH ADVISORY, INC.	Jan 11, 2018	Feb 1, 2018	21	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jan 11, 2018	Sep 28, 2016	-470	Channel change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TD AMERITRADE, INC.	Sep 19, 2016	Sep 23, 2016	4	Firm change	Other
CHARLES SCHWAB & CO., INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 5, 2014	Mar 18, 2014	13	Firm change	Ibd to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7870:111514:FL:2018-01-11	Jan 11, 2018	Sep 28, 2016	WINTER PARK, FL	Firm change after gap

Relationships

Registered with (7)

→ APELLA WEALTHRegistered adviserregistration: current employment
Sep 4, 2026 to presentfactForm ADV
→ DAVID VAUGHAN INVESTMENTS, LLCRegistered adviserregistration: previous registration
Sep 4, 2024 to Aug 28, 2026factForm ADV
→ SCHWAB WEALTH ADVISORY, INC.Registered adviserregistration: previous registration
Feb 1, 2018 to Aug 6, 2024factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 28, 2016 to Jan 11, 2018factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Sep 23, 2016 to Jan 11, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 18, 2014 to Sep 19, 2016factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Feb 26, 2013 to Mar 5, 2014factForm ADV

Dated events

Occurred
Aug 28, 2026
Advisor changed firm
Shane Michael Higgins left David Vaughan Investments, Llc for Apella Wealth (registered 2026-09-04)
Form ADVobserved 5 days ago
Occurred
Aug 6, 2024
Advisor changed firm
Shane Michael Higgins left Schwab Wealth Advisory, Inc. for David Vaughan Investments, Llc (registered 2024-09-04)
Form ADVobserved 5 days ago