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.

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Registered advisor

T•••••• A••••

H•• I••••••••• P•••••••• L••independent RIAFort Wayne, In IA-onlyIAPD 4282006

Feed of 09/15/2026

Also filed as Theresa M Pugh

At current firm

2 y

since Jul 19, 2024

In the industry

16 y

since Apr 6, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H•• I••••••••• P•••••••• L•• independent RIA current
since Jul 19, 2024 · Austin, Tx
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Jan 18, 2023 to Jul 16, 2024 · Perrysburg, Oh
A••••••• I••••••••• A•••••••• L•• i••••••••• manager
Jul 20, 2020 to Feb 16, 2021 · Needham, Ma
C• I••••••••• L•• independent RIA
Oct 19, 2018 to Feb 11, 2019 · Auburn, In
L•••••• F•••••••• D••••••••• I••• unclassified
Nov 30, 2010 to Feb 24, 2011 · Fort Wayne, In
S•••••• F•••••••• G••••• I••• former
Sep 15, 2010 to Oct 13, 2010 · Fort Wayne, In

Moves

a registration end followed by a registration begin elsewhere

T••••••••• F•••••••• A•••••••• L•• to H•• I••••••••• P•••••••• L••
left Jul 16, 2024, registered Jul 19, 2024 (3 days) · Affiliated broker-dealer or bank to independent RIA
A••••••• I••••••••• A•••••••• L•• to T••••••••• F•••••••• A•••••••• L••
left Feb 16, 2021, registered Jan 18, 2023 (701 days) · Other
C• I••••••••• L•• to A••••••• I••••••••• A•••••••• L••
left Feb 11, 2019, registered Jul 20, 2020 (525 days) · Other
L•••••• F•••••••• D••••••••• I••• to C• I••••••••• L••
left Feb 24, 2011, registered Oct 19, 2018 (2794 days) · Other
S•••••• F•••••••• G••••• I••• to L•••••• F•••••••• D••••••••• I•••
left Oct 13, 2010, registered Nov 30, 2010 (48 days) · Other

Signals

T•••••• A•••• left T••••••••• F•••••••• A•••••••• L•• for H•• I••••••••• P•••••••• L•• (registered 2024-07-19)
Jul 16, 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: Independent wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address