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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

Royce Guerrero

Advisor at SOFI WEALTH LLC

Jacksonville, FL | SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:3cae342a-1c9e-1ca6-9765-b1d5bcc431b5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 19, 2014 to Sep 15, 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: SOFI WEALTH LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 2, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Nov 2, 2012
First registration: Aug 19, 2014
Dual registered: yes, broker-dealer
IAPD individual key: 6112718

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
SOFI WEALTH LLC	Bd affiliated wealth	Oct 23, 2024	n/a	yes	Jacksonville, FL\|SAN FRANCISCO, CA	Current employment
ALLY INVEST ADVISORS	Independent wealth	Nov 19, 2021	Oct 9, 2024	no	CHARLOTTE, NC\|Jacksonville, FL\|Jacksonville, FL	Previous registration
VICTORY CAPITAL MANAGEMENT INC.	Asset manager	Jan 21, 2021	May 25, 2021	no	SAN ANTONIO, TX	Previous registration
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Jan 8, 2018	Jul 8, 2019	no	SAN ANTONIO, TX	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Aug 19, 2014	Jan 8, 2018	no	TAMPA, FL\|TAMPA, 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
ALLY INVEST ADVISORS	SOFI WEALTH LLC	Oct 9, 2024	Oct 23, 2024	14	Firm change	RIA to ibd
VICTORY CAPITAL MANAGEMENT INC.	ALLY INVEST ADVISORS	May 25, 2021	Nov 19, 2021	178	Firm change	Other
USAA INVESTMENT SERVICES COMPANY	VICTORY CAPITAL MANAGEMENT INC.	Jul 8, 2019	Jan 21, 2021	563	Bulk transfer	Other
USAA FINANCIAL PLANNING SERVICES	USAA INVESTMENT SERVICES COMPANY	Jan 8, 2018	Jan 8, 2018	0	Bulk transfer	Other

Relationships

Registered with (5)

→ SOFI WEALTH LLCRegistered adviserregistration: current employment
Oct 23, 2024 to presentfactForm ADV
→ ALLY INVEST ADVISORSRegistered adviserregistration: previous registration
Nov 19, 2021 to Oct 9, 2024factForm ADV
→ VICTORY CAPITAL MANAGEMENT INC.Registered adviserregistration: previous registration
Jan 21, 2021 to May 25, 2021factForm ADV
→ USAA INVESTMENT SERVICES COMPANYRegistered adviserregistration: previous registration
Jan 8, 2018 to Jul 8, 2019factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Aug 19, 2014 to Jan 8, 2018factForm ADV

Dated events

Occurred
Oct 9, 2024
Advisor changed firm
Royce Guerrero left Ally Invest Advisors for Sofi Wealth Llc (registered 2024-10-23)
Form ADVobserved 5 days ago