DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner10 years in industry

Benjamin Franklin Mossoney

Advisor at VALEO FINANCIAL ADVISORS, LLC

CARMEL, IN

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:ccba58e9-44a3-def8-e8ad-08eccf479c07

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 14, 2022 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: VALEO FINANCIAL ADVISORS, LLC
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: Apr 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S66
First exam: May 7, 2021
First registration: Mar 14, 2022
Dual registered: no
Other names: Ben Mossoney|BENJAMIN F MOSSONEY
IAPD individual key: 7256883

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
VALEO FINANCIAL ADVISORS, LLC	Independent wealth	Aug 16, 2024	n/a	yes	CARMEL, IN	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Sep 30, 2022	Sep 7, 2023	no	Carmel, IN\|BOULDER, CO	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Sep 30, 2022	Oct 14, 2022	no	Carmel, IN\|Boulder, CO	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Mar 14, 2022	Aug 2, 2024	no	Indianapolis, IN\|Carmel, IN\|Carmel, IN\|Boulder, CO\|WESTLAKE, TX	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
CHARLES SCHWAB & CO., INC.	TD AMERITRADE, INC.	Aug 2, 2024	Sep 30, 2022	-672	Firm change after gap	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	VALEO FINANCIAL ADVISORS, LLC	Sep 7, 2023	Aug 16, 2024	344	Firm change	RIA to RIA
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Sep 30, 2022	-14	Bulk transfer	Other

Relationships

Registered with (4)

→ VALEO FINANCIAL ADVISORS, LLCRegistered adviserregistration: current employment
Aug 16, 2024 to presentfactForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Mar 14, 2022 to Aug 2, 2024factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 30, 2022 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Sep 30, 2022 to Oct 14, 2022factForm ADV

Dated events

Occurred
Aug 2, 2024
Advisor changed firm
Benjamin Franklin Mossoney left Charles Schwab & Co., Inc. for Td Ameritrade, Inc. (registered 2022-09-30)
Form ADVobserved 4 days ago
Occurred
Sep 7, 2023
Advisor changed firm
Benjamin Franklin Mossoney left Td Ameritrade Investment Management, Llc for Valeo Financial Advisors, Llc (registered 2024-08-16)
Form ADVobserved 4 days ago