DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Travis Matthew OConnor

Advisor at VANGUARD ADVISERS, INC.

MALVERN, PA

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:67a39e45-789b-4aff-cf1b-f159ab8a2d83

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Aug 30, 2016 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: VANGUARD ADVISERS, INC.
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: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 29, 2016
First registration: Aug 30, 2016
Dual registered: yes, broker-dealer
Other names: Travis Matthew O'Connor|Travis OConnor|Travis M OConnor|Travis M O'Connor|TRAVIS O'CONNOR|Travis Oconnor|Travis O Connor
IAPD individual key: 6673693

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
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Jun 24, 2025	n/a	yes	MALVERN, PA	Current employment
EQUITABLE ADVISORS, LLC	National bd RIA	May 17, 2024	Jun 6, 2025	no	CONSHOHOCKEN, PA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Sep 30, 2020	Mar 7, 2024	no	Plymouth Meeting, PA	Previous registration
CAPITAL ANALYSTS	Bd affiliated wealth	Jan 29, 2019	Sep 29, 2020	no	MARLTON, NJ	Previous registration
LINCOLN INVESTMENT	Independent wealth	Aug 30, 2016	Sep 29, 2020	no	MARLTON, NJ	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
EQUITABLE ADVISORS, LLC	VANGUARD ADVISERS, INC.	Jun 6, 2025	Jun 24, 2025	18	Firm change	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	EQUITABLE ADVISORS, LLC	Mar 7, 2024	May 17, 2024	71	Firm change	Ibd to ibd
CAPITAL ANALYSTS	AMERIPRISE FINANCIAL SERVICES, LLC	Sep 29, 2020	Sep 30, 2020	1	Firm change	Ibd to ibd
LINCOLN INVESTMENT	CAPITAL ANALYSTS	Sep 29, 2020	Jan 29, 2019	-609	Firm change after gap	Ibd to ibd

Relationships

Registered with (5)

→ VANGUARD ADVISERS, INC.Registered adviserregistration: current employment
Jun 24, 2025 to presentfactForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
May 17, 2024 to Jun 6, 2025factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Sep 30, 2020 to Mar 7, 2024factForm ADV
→ CAPITAL ANALYSTSRegistered adviserregistration: previous registration
Jan 29, 2019 to Sep 29, 2020factForm ADV
→ LINCOLN INVESTMENTRegistered adviserregistration: previous registration
Aug 30, 2016 to Sep 29, 2020factForm ADV

Dated events

Occurred
Jun 6, 2025
Advisor changed firm
Travis Matthew Oconnor left Equitable Advisors, Llc for Vanguard Advisers, Inc. (registered 2025-06-24)
Form ADVobserved 6 days ago
Occurred
Mar 7, 2024
Advisor changed firm
Travis Matthew Oconnor left Ameriprise Financial Services, Llc for Equitable Advisors, Llc (registered 2024-05-17)
Form ADVobserved 6 days ago