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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

A••••• L•••••• S•••••••

P••••••• M•••• M••••••••• L••state registeredIndian Trail, Nc IA-onlyIAPD 6488230

Feed of 09/14/2026

Also filed as Alicia L Pugh

At current firm

1 y

since Jul 21, 2025

In the industry

11 y

since Jul 1, 2015 (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

P••••••• M•••• M••••••••• L•• state registered current
since Jul 21, 2025 · Wayne, Pa
U•• F•••••••• S••••••• I••• wirehouse
Mar 6, 2023 to Jul 24, 2023 · Charlotte, Nc
A•••• I••••••••• A•••••••• L•• unclassified
Nov 24, 2020 to Dec 31, 2022 · Milwaukee, Wi
S•••••• P•••••••• L•• independent RIA
May 14, 2020 to Dec 21, 2020 · Omaha, Ne
E•••••• A••••••• G••••• L•• BD affiliated
Apr 5, 2019 to Sep 3, 2019 · Madison, Wi
F•••••• L•• no RAUM
Jul 27, 2015 to Nov 1, 2017 · Brookfield, Wi

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to P••••••• M•••• M••••••••• L••
left Jul 24, 2023, registered Jul 21, 2025 (728 days) · Wirehouse to a state-registered adviser
A•••• I••••••••• A•••••••• L•• to U•• F•••••••• S••••••• I•••
left Dec 31, 2022, registered Mar 6, 2023 (65 days) · Other
S•••••• P•••••••• L•• to A•••• I••••••••• A•••••••• L••
left Dec 21, 2020, registered Nov 24, 2020 (-27 days) · Other
E•••••• A••••••• G••••• L•• to S•••••• P•••••••• L••
left Sep 3, 2019, registered May 14, 2020 (254 days) · Other
F•••••• L•• to E•••••• A••••••• G••••• L••
left Nov 1, 2017, registered Apr 5, 2019 (520 days) · Other

Signals

A••••• L•••••• S••••••• left U•• F•••••••• S••••••• I••• for P••••••• M•••• M••••••••• L•• (registered 2025-07-21)
Jul 24, 2023 · Advisor changed firm · fact
A••••• L•••••• S••••••• left A•••• I••••••••• A•••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2023-03-06)
Dec 31, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address