DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Shane Michael Higgins

Apella Wealthindependent RIAWest Hartford, Ct IA-onlyIAPD 5994182

Certified Financial Planner

Feed of 09/14/2026

Also filed as Shane M Higgins

At current firm

0 y

since Sep 4, 2026

In the industry

13 y

since Feb 23, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Apella Wealth independent RIA current
since Sep 4, 2026 · Winter Garden, Fl
David Vaughan Investments, LLC independent RIA
Sep 4, 2024 to Aug 28, 2026 · Winter Park, Fl
Schwab Wealth Advisory, Inc. no RAUM
Feb 1, 2018 to Aug 6, 2024 · Orlando, Fl
Td Ameritrade Investment Management, LLC former
Sep 28, 2016 to Jan 11, 2018 · Altamonte Springs, Fl
Td Ameritrade, Inc. former
Sep 23, 2016 to Jan 11, 2018 · Winter Park, Fl
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Mar 18, 2014 to Sep 19, 2016 · Apopka, Fl
Charles Schwab & Co., Inc. national BD
Feb 26, 2013 to Mar 5, 2014 · Orlando, Fl

Moves

a registration end followed by a registration begin elsewhere

David Vaughan Investments, LLC to Apella Wealth
left Aug 28, 2026, registered Sep 4, 2026 (7 days) · RIA to RIA
Schwab Wealth Advisory, Inc. to David Vaughan Investments, LLC
left Aug 6, 2024, registered Sep 4, 2024 (29 days) · Other
Td Ameritrade Investment Management, LLC to Schwab Wealth Advisory, Inc.
left Jan 11, 2018, registered Feb 1, 2018 (21 days) · Other
Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLC
left Jan 11, 2018, registered Sep 28, 2016 (-470 days) · channel change inside one enterprise, not a move · moved with a team
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Td Ameritrade, Inc.
left Sep 19, 2016, registered Sep 23, 2016 (4 days) · Other
Charles Schwab & Co., Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Mar 5, 2014, registered Mar 18, 2014 (13 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Shane Michael Higgins left David Vaughan Investments, Llc for Apella Wealth (registered 2026-09-04)
Aug 28, 2026 · Advisor changed firm · fact
Shane Michael Higgins left Schwab Wealth Advisory, Inc. for David Vaughan Investments, Llc (registered 2024-09-04)
Aug 6, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address