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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

SHANE DANIEL KOZUP

Advisor at VANGUARD ADVISERS, INC.

MALVERN, PA

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Search this name across graphsid dfx:ria:86158b83-e88e-12c3-0ea1-8e9724005c6b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 9, 2014 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: Mar 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom 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: Jun 6, 2014
First registration: Jun 9, 2014
Dual registered: yes, broker-dealer
Other names: SHANE D KOZUP|SHANE KOZUP
IAPD individual key: 6310771

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	Sep 15, 2025	n/a	yes	MALVERN, PA	Current employment
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	Aug 6, 2025	no	BERKELEY, CA\|SAN FRANCISCO, CA\|BOSTON, MA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Mar 31, 2025	no	BOSTON, MA\|BERKELEY, CA\|SAN FRANCISCO, CA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jun 23, 2017	Jul 13, 2018	no	BERKELEY, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 9, 2014	May 11, 2017	no	CHANDLER, AZ\|BERKELEY, CA\|BERKELEY, CA\|BERKELEY, CA\|LIVERMORE, CA	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
STRATEGIC ADVISERS LLC	VANGUARD ADVISERS, INC.	Aug 6, 2025	Sep 15, 2025	40	Firm change	Ibd to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	STRATEGIC ADVISERS LLC	May 11, 2017	Jun 23, 2017	43	Firm change	Wirehouse to ibd

Team moves

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

Team	Left	Joined	From	Kind
104555:106715:MA:2025-08-06	Aug 6, 2025	Sep 15, 2025	BOSTON, MA	Firm change

Relationships

Registered with (4)

→ VANGUARD ADVISERS, INC.Registered adviserregistration: current employment
Sep 15, 2025 to presentfactForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Mar 31, 2025 to Aug 6, 2025factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 9, 2014 to May 11, 2017factForm ADV

Dated events

Occurred
Aug 6, 2025
Advisor changed firm
Shane Daniel Kozup left Strategic Advisers Llc for Vanguard Advisers, Inc. (registered 2025-09-15)
Form ADVobserved 5 days ago