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
Royce Guerrero
Feed of 09/15/2026
At current firm
1 y
since Oct 23, 2024
In the industry
13 y
since Nov 2, 2012 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Sofi Wealth LLC BD affiliated currentsince Oct 23, 2024 · Jacksonville, Fl
- Ally Invest Advisors independent RIANov 19, 2021 to Oct 9, 2024 · Charlotte, Nc
- Victory Capital Management Inc. asset managerJan 21, 2021 to May 25, 2021 · San Antonio, Tx
- Usaa Investment Services Company no RAUMJan 8, 2018 to Jul 8, 2019 · San Antonio, Tx
- Usaa Financial Planning Services formerAug 19, 2014 to Jan 8, 2018 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- Ally Invest Advisors to Sofi Wealth LLCleft Oct 9, 2024, registered Oct 23, 2024 (14 days) · RIA to affiliated broker-dealer or bank
- Victory Capital Management Inc. to Ally Invest Advisorsleft May 25, 2021, registered Nov 19, 2021 (178 days) · Other
- Usaa Investment Services Company to Victory Capital Management Inc.left Jul 8, 2019, registered Jan 21, 2021 (563 days) · corporate re-registration, not a move
- Usaa Financial Planning Services to Usaa Investment Services Companyleft Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
Signals
- Royce Guerrero left Ally Invest Advisors for Sofi Wealth Llc (registered 2024-10-23)Oct 9, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address