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Richard Rugel

Integrity Alliance, LLC
24 Years of Experience
Clifton Park, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
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Richard Rugel is a registered investment advisor at Integrity Alliance, LLC, based in Clifton Park, NY, with 24 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 8 more. Their firm serves 10,885 clients with $5.4B in assets under management.

Integrity Alliance, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
461 advisors
Number of Clients
10,885 clients
Average Client Portfolio
$497K average
Assets Under Management
$5.4B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.00%
$1.0M - $3.0M1.00%
$3M+0.50%

Schedule reflects base Select Program fees. Total fees can include additional advisor fees, platform fees, and third-party manager costs up to 2.80% annually. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Clifton Park, NY

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2020
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Richard is an Annuity & Life Sales Coordinator at Advisors Insurance Brokers, dedicating full-time hours to helping agents sell and process annuity and life cases. He is also an IAR Rep at TLG Advisors Inc, but spends no time on this activity.

Employment History
Current Registrations
Integrity Alliance, LLC
January 2026 - Present · 9 mos
Integrity Alliance, LLC.Broker
January 2026 - Present · 9 mos
Integrity Alliance, LLC.
January 2026 - Present · 9 mos
Previous Registrations
The Leaders Group, INC.Broker
February 2024 - December 2025 · 1 yr 10 mos
Tlg Advisors, INC.
February 2024 - December 2025 · 1 yr 10 mos
Osaic Institutions, INC.Broker
December 2023 - February 2024 · 2 mos
Osaic Institutions, INC.
December 2023 - February 2024 · 2 mos
Prudential Financial Planning Services
January 2022 - December 2023 · 1 yr 11 mos
Pruco Securities, LLC.Broker
April 2020 - December 2023 · 3 yrs 8 mos
Allstate Financial Services, LLCBroker
December 2012 - April 2020 · 7 yrs 4 mos
Metlife Securities INC.Broker
June 2005 - November 2012 · 7 yrs 5 mos
Metropolitan Life Insurance CompanyBroker
June 2005 - July 2007 · 2 yrs 1 mo
Pruco Securities, LLC.Broker
January 2004 - March 2005 · 1 yr 2 mos
Waddell & Reed, INC.Broker
April 2001 - February 2003 · 1 yr 10 mos
Signator Investors, INC.Broker
December 2000 - March 2001 · 3 mos
State Registrations4 states
AZNCNJNY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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