Sebastian D. Pugliese

ALPHA ARCHITECT

NEWTOWN SQUARE, PA 19073

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CRD#: 2777267

Professional summary

Sebastian Douglas Pugliese, who also goes by Doug Pugliese, is a registered financial advisor currently at ALPHA ARCHITECT located in Newtown Square, Pennsylvania.

Sebastian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Sebastian has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug Pugliese

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Mr. Pugliese owns Breathe-Eze Holdings LLC, a single�-member entity through which he engages in financial consulting activities with Alpha Architect, LLC; 324 Aubrey Rd, Wynnewood, PA 19096; Managing member; start 10/20/2015; Breathe-Eze Holdings LLC also holds intellectual property/patent for non-investment related product, related activity to which is less than 10 hours per month outside of trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sebastian Douglas Pugliese's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 17, 2016 - Present

ALPHA ARCHITECT

Office #1: Suite 150 3803 West Chester Pike, Newtown Square, PA 19073

RIA

CRD#: 153905

NEWTOWN SQUARE, PA

Past

November 12, 2012 - November 2, 2016

SEI INVESTMENTS MANAGEMENT CORP

RIA

CRD#: 105146

OAKS, PA

Past

January 12, 2006 - December 13, 2007

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

August 6, 1996 - January 2, 2001

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALPHA ARCHITECT

CRD#: 153905 / SEC#: 801-71697

RIA

Registered Investment Advisory firm - (8/16/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(11/17/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/9/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/5/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/13/2007

General Securities Principal Examination

Current Firm

ALPHA ARCHITECT

CRD#: 153905 / SEC#: 801-71697

RIA

Registered Investment Advisory firm - (8/16/2010 Approved)

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Contact information

Main Address

Suite 150 3803 West Chester Pike, Newtown Square, PA 19073

Mailing Address

Phone number

+1 (215) 882-9983

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALPHA ARCHITECT BROCHURE (8/12/2025)

Regulatory assets under management

Total Number of Accounts	172
AUM (Assets Under Management)	$ 7,274,779,825

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Sebastian D. Pugliese

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sebastian Douglas Pugliese's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEI INVESTMENTS MANAGEMENT CORP

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

ALPHA ARCHITECT

State Registrations and Notice Filings

Exams

Series 65

Date: 11/9/2012

Series 63

Date: 5/9/2006

Series 7

Date: 8/5/1996

Series 24

Date: 6/13/2007

Current Firm

ALPHA ARCHITECT

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPHA ARCHITECT

TRUST BUT VERIFY

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