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

Willard Louis Pugh

Kestra Advisory Services, LLCBD affiliatedBoca Raton, Fl dual registrantIAPD 1757428

Feed of 09/15/2026

At current firm

1 y

since Oct 1, 2024

In the industry

23 y

since Jan 14, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Kestra Advisory Services, LLC BD affiliated current
since Oct 1, 2024 · Boca Raton, Fl
B. Riley Wealth Advisors, Inc. BD affiliated
Jun 15, 2016 to Oct 30, 2024 · Boca Raton, Fl
Dawson James Asset Management, Inc. state registered
Oct 2, 2007 to Jun 14, 2016 · Boca Raton, Fl
Asset Planning Corporation independent RIA
Apr 4, 2003 to Feb 7, 2008 · West Palm Beach, Fl
Mutual Service Corporation unclassified
Mar 28, 2003 to Apr 23, 2003 · West Palm Beach, Fl

Moves

a registration end followed by a registration begin elsewhere

B. Riley Wealth Advisors, Inc. to Kestra Advisory Services, LLC
left Oct 30, 2024, registered Oct 1, 2024 (-29 days) · Affiliated broker-dealer or bank to another · moved with a team
Dawson James Asset Management, Inc. to B. Riley Wealth Advisors, Inc.
left Jun 14, 2016, registered Jun 15, 2016 (1 days) · Other
Asset Planning Corporation to Dawson James Asset Management, Inc.
left Feb 7, 2008, registered Oct 2, 2007 (-128 days) · Other
Mutual Service Corporation to Asset Planning Corporation
left Apr 23, 2003, registered Apr 4, 2003 (-19 days) · Other

Signals

Willard Louis Pugh left B. Riley Wealth Advisors, Inc. for Kestra Advisory Services, Llc (registered 2024-10-01)
Oct 30, 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address