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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

Richard James Rugel

Advisor at INTEGRITY ALLIANCE, LLC

URBANDALE, IA | Clifton Park, NY

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Search this name across graphsid dfx:ria:0434d559-bce2-53ed-2a3c-9d6fbcc8022a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jan 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: INTEGRITY ALLIANCE, LLC
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: Oct 12, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Oct 12, 2001
First registration: Jan 14, 2022
Dual registered: yes, broker-dealer
Other names: RICHARD JAMES RUGEL
IAPD individual key: 3200986

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
INTEGRITY ALLIANCE, LLC	Bd affiliated wealth	Jan 15, 2026	n/a	yes	Clifton Park, NY\|Clifton Park, NY\|URBANDALE, IA	Current employment
TLG ADVISORS, INC.	Bd affiliated wealth	Feb 28, 2024	Dec 31, 2025	no	SUMMIT, NJ\|Clifton Park, NY	Previous registration
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Dec 12, 2023	Feb 15, 2024	no	Scotia, NY	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Jan 14, 2022	Dec 18, 2023	no	WHITE PLAINS, NY\|Latham, NY\|SHELTON, CT\|Syracuse, NY	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
TLG ADVISORS, INC.	INTEGRITY ALLIANCE, LLC	Dec 31, 2025	Jan 15, 2026	15	Firm change	Ibd to ibd
OSAIC INSTITUTIONS, INC.	TLG ADVISORS, INC.	Feb 15, 2024	Feb 28, 2024	13	Firm change	Ibd to ibd
PRUCO SECURITIES, LLC	OSAIC INSTITUTIONS, INC.	Dec 18, 2023	Dec 12, 2023	-6	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ INTEGRITY ALLIANCE, LLCRegistered adviserregistration: current employment
Jan 15, 2026 to presentfactForm ADV
→ TLG ADVISORS, INC.Registered adviserregistration: previous registration
Feb 28, 2024 to Dec 31, 2025factForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Dec 12, 2023 to Feb 15, 2024factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jan 14, 2022 to Dec 18, 2023factForm ADV

Dated events

Occurred
Dec 31, 2025
Advisor changed firm
Richard James Rugel left Tlg Advisors, Inc. for Integrity Alliance, Llc (registered 2026-01-15)
Form ADVobserved 5 days ago
Occurred
Feb 15, 2024
Advisor changed firm
Richard James Rugel left Osaic Institutions, Inc. for Tlg Advisors, Inc. (registered 2024-02-28)
Form ADVobserved 5 days ago
Occurred
Dec 18, 2023
Advisor changed firm
Richard James Rugel left Pruco Securities, Llc for Osaic Institutions, Inc. (registered 2023-12-12)
Form ADVobserved 5 days ago