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RIA / WealthAdvisor21 years in industry

JOSEPH MICHAEL ALCON

Advisor at KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

Coachella, CA | NEW HAVEN, CT

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Search this name across graphsid dfx:ria:524debd5-ac73-67c8-92ba-e5bf082e663f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 0
Dated events: 1
On other graphs: 0
Observed: Apr 25, 2005 to Sep 15, 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: KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 22, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63|S65
First exam: Apr 22, 2005
First registration: Apr 25, 2005
Dual registered: no
Other names: JOSEPH MICHAEL PUGA
IAPD individual key: 3226427

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
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC	Institutional manager	Sep 14, 2026	n/a	yes	NEW HAVEN, CT\|Coachella, CA	Current employment
SECURE INVESTMENT MANAGEMENT, LLC	Independent wealth	Apr 1, 2025	Jul 6, 2026	no	TUCSON, AZ\|Coachella, CA	Previous registration
KEYSTONE PRIVATE WEALTH	Independent wealth	May 4, 2023	May 22, 2025	no	PALM DESERT, CA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 17, 2018	Aug 5, 2020	no	PALM DESERT, CA	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Apr 25, 2005	Nov 21, 2006	no	PALM SPRINGS, CA\|PALM SPRINGS, 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
SECURE INVESTMENT MANAGEMENT, LLC	KNIGHTS OF COLUMBUS ASSET ADVISORS LLC	Jul 6, 2026	Sep 14, 2026	70	Firm change	Other
KEYSTONE PRIVATE WEALTH	SECURE INVESTMENT MANAGEMENT, LLC	May 22, 2025	Apr 1, 2025	-51	Firm change after gap	RIA to RIA
FIDELITY PERSONAL AND WORKPLACE ADVISORS	KEYSTONE PRIVATE WEALTH	Aug 5, 2020	May 4, 2023	1,002	Firm change after gap	Ibd to RIA
A. G. EDWARDS & SONS, INC.	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Nov 21, 2006	Jul 17, 2018	4,256	Firm change after gap	Other

Relationships

No published relationship touches this entity yet.

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

Occurred
Sep 14, 2026
Joseph Michael Alcon registered as an investment adviser representative at Knights Of Columbus Asset Advisors Llc