Richard Rugel
Richard Rugel is a registered investment advisor at Integrity Alliance, LLC, based in Clifton Park, NY, with 23 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 14,148 clients with $2.4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Integrity Alliance offers investment management through various programs.
Edge Program:
- Fees include a program fee (up to 0.35% annually), an advisor fee (up to 2.00% annually), and potential third-party sub-advisor fees.
Select Program:
- Fees range from 1.00% to 2.80% annually on the first $1,000,000, 1.00% to 2.20% on the next $2,000,000, and 0.50% to 1.75% on assets over $3,000,000.
- A 0.10% trading platform fee is added to the maximum account fee for accounts with the broker-dealer arm.
Fees are assessed on all assets, including cash and money market balances. Margin accounts may incur additional fees. Fees are typically charged quarterly in advance, pro-rated for mid-quarter openings, and adjusted for significant deposits or withdrawals.
Location
Clifton Park, NY
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Regulatory History (1)
Customer Dispute
May 2020Other 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
Integrity Alliance, LLC.Broker
Integrity Alliance, LLC.
Previous Registrations
The Leaders Group, INC.Broker
Tlg Advisors, INC.
Osaic Institutions, INC.Broker
Osaic Institutions, INC.
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Allstate Financial Services, LLCBroker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Pruco Securities, LLC.Broker
Waddell & Reed, INC.Broker
Signator Investors, INC.Broker
State Registrations3 states
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.