Roman Puglise is a registered investment advisor at Upholdings, based in Charleston, SC, with 3 years of industry experience. Roman operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 13 clients with $51M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 0.60% |
The standard asset-based fee is 0.60% annually. Alternatively, the firm offers flat-fee arrangements ranging from $7,000 to $50,000 per year. Fees are negotiable.
Fee Estimator
Location
Charleston, SC
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Upholdings
Previous Registrations
Mariner Wealth
State Registrations2 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.
Exams
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