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
John Thomas Gugle
Certified Financial Planner
Feed of 09/14/2026
Also filed as John T. Gugle
At current firm
2 y
since Jun 26, 2024
In the industry
23 y
since Sep 23, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Gugle Wealth Advisory state registered currentsince Jun 26, 2024 · Indian Land, Sc
- LPL Financial LLC BD affiliatedJul 18, 2022 to Oct 25, 2022 · Fort Mill, Sc
- Alpha Financial Advisors, LLC independent RIASep 14, 2005 to Nov 6, 2019 · Charlotte, Nc
- Carroll Financial Associates Inc formerSep 25, 2003 to Jul 12, 2005 · Charlotte, Nc
- UBS Financial Services Inc. wirehouseSep 30, 2002 to Sep 15, 2003 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Gugle Wealth Advisoryleft Oct 25, 2022, registered Jun 26, 2024 (610 days) · RIA to a state-registered adviser
- Alpha Financial Advisors, LLC to LPL Financial LLCleft Nov 6, 2019, registered Jul 18, 2022 (985 days) · RIA to RIA
- Carroll Financial Associates Inc to Alpha Financial Advisors, LLCleft Jul 12, 2005, registered Sep 14, 2005 (64 days) · Other
- UBS Financial Services Inc. to Carroll Financial Associates Incleft Sep 15, 2003, registered Sep 25, 2003 (10 days) · Other
Signals
- John Thomas Gugle left Lpl Financial Llc for Gugle Wealth Advisory (registered 2024-06-26)Oct 25, 2022 · 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address