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

Michael Joseph Ruggieri

LPL Financial LLCBD affiliatedPhoenix, Azdual registrantIAPD 2652152

Feed of 09/14/2026

Also filed as Mike Joseph Ruggieri

At current firm

0 y

since Jan 6, 2026

In the industry

27 y

since Oct 19, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Jan 6, 2026 · Phoenix, Az
The Capital Advisory Group Advisory Services, LLC former
Jul 5, 2023 to Aug 5, 2026 · Peoria, Az
United Planners' Financial Services Of America A Limited Partner independent RIA
Feb 25, 2014 to May 7, 2025 · Scottsdale, Az
Sagepoint Financial, Inc. former
Jul 3, 2013 to Feb 3, 2014 · Phoenix, Az
Charles Schwab & Co., Inc. national BD
Jun 8, 2011 to Dec 31, 2012 · Phoenix, Az
LPL Financial LLC BD affiliated
Jan 20, 2009 to Jun 1, 2011 · Sun City West, Az
Cue Financial Group, Inc. former
Feb 17, 2006 to Jan 21, 2009 · Tucson, Az
Usaa Investment Services Company no RAUM
Dec 5, 2005 to Jan 3, 2006 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

The Capital Advisory Group Advisory Services, LLC to LPL Financial LLC
left Aug 5, 2026, registered Jan 6, 2026 (-211 days) · RIA to affiliated broker-dealer or bank
United Planners' Financial Services Of America A Limited Partner to The Capital Advisory Group Advisory Services, LLC
left May 7, 2025, registered Jul 5, 2023 (-672 days) · RIA to RIA
Sagepoint Financial, Inc. to United Planners' Financial Services Of America A Limited Partner
left Feb 3, 2014, registered Feb 25, 2014 (22 days) · Other
Charles Schwab & Co., Inc. to Sagepoint Financial, Inc.
left Dec 31, 2012, registered Jul 3, 2013 (184 days) · Other
LPL Financial LLC to Charles Schwab & Co., Inc.
left Jun 1, 2011, registered Jun 8, 2011 (7 days) · Other
Cue Financial Group, Inc. to LPL Financial LLC
left Jan 21, 2009, registered Jan 20, 2009 (-1 days) · Other
Usaa Investment Services Company to Cue Financial Group, Inc.
left Jan 3, 2006, registered Feb 17, 2006 (45 days) · Other

Signals

Michael Joseph Ruggieri left The Capital Advisory Group Advisory Services, Llc for Lpl Financial Llc (registered 2026-01-06)
Aug 5, 2026 · Advisor changed firm · fact
Michael Joseph Ruggieri left United Planners' Financial Services Of America A Limited Partner for The Capital Advisory Group Advisory Services, Llc (registered 2023-07-05)
May 7, 2025 · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address