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

Roman Joseph Puglise

UpholdingsformerNashville, Tn IA-onlyIAPD 7660857
Feed of 09/14/2026
At current firm
1 y
since Jul 17, 2025
In the industry
13 y
since Nov 1, 2012 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
  • Upholdings former current
    since Jul 17, 2025 · Charleston, Sc
  • Mariner BD affiliated
    Dec 13, 2022 to Apr 30, 2025 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
  • Mariner to Upholdings
    left Apr 30, 2025, registered Jul 17, 2025 (78 days) · Affiliated broker-dealer or bank to independent RIA
Signals
  • Roman Joseph Puglise left Mariner for Upholdings (registered 2025-07-17)
    Apr 30, 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
Former SEC-registered adviserderived
Years in industry
13derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address