DP
Dwight L. Pugh
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CRD#: 6985696
DP
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dwight Lee Pugh was a registered financial professional .
Dwight is a previously registered financial professional and started their career in finance in 2018. Dwight had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
1)Dwight L Pugh, CPA, LLC, (Shreveport, LA. Start 02/01), my professional LLC, served as the partner for my partnership interest in Smith, Pugh & Seal, LLP, a CPA firm in Shreveport, LA. (Smith, Pugh & Seal, LLP, was dissolved 02/2020).Effective with the 07/2015 merger of Smith, Pugh & Seal, LLP with Heard, McElroy & Vestal, LLC, my professional LLC serves as the partner for my partnership interest in Heard, McElroy & Vestal, LLC, a full service regional CPA firm with offices in Shreveport and Monroe, LA, and Longview, TX. As a partner of counsel in Heard, McElroy & Vestal, LLC, I provide tax and financial planning as well as business advisory services to businesses and individuals in various industries approx, 10 hrs/month. Approx. 10 hrs/month occur during securities trading hrs. 2)Lares, LLC Shreveport, LA. Formed in 01/12, to invest in oil and gas joint interest ventures. Duties include evaluating prospective exploration and development projects for investment as a working interest owner. The activities of Lares, LLC are very limited (4 hrs or less hrs/mo.) normally during securities trading hours. 3)Home Run, LLC Shreveport, LA. Organized 05/17 to invest in franchised restaurants in LA. A passive investor with almost no time devoted. 4)Mission Plantation, LLC (formerly Mission Plantation, Inc) Shreveport, LA. Mission Plantation was a client of my accounting firm, Smith, Pugh & Seal and subsequently Heard, McElroy & Vestal since 1978. This LLC owns over 4,000 acres of land in Caddo Parish, LA which it leases to farmers. I am the Manager, Sec./Treas. & Registered Agent of the company on behalf of the owners who are absentee foreign nationals. Duties consist of negotiating with tenants and oil companies, collecting income, paying expenses, recordkeeping and reporting to the owners for an average of 4 hrs per mo. during securities trading hours. 5)Ashley Ridge Resources, LLC (fka Ashley Ridge Investments, LLC) Shreveport, LA. Organized 02/04; the company changed its name, ceased all operations, and was dissolved in 11/2022. 6)Home Run Arkansas, LLC Shreveport, LA Organized 05/17 to invest in franchised restaurants in Arkansas. Passive investor with almost no time devoted to it. 7)Fairview Point Homeowners Association Elm Grove, LA. This nonprofit corporation provides for maintenance of the lawns and common areas for the owners of the properties in a subdivision. I began serving as the registered agent and a member of the board of directors in 04/18. Duties include collecting the monthly dues from the owners and paying for services required to maintain the property. Approx. 1 hr/mo., all outside of securities trading hours. 8) Fourth and Long Investors, LLC, Shreveport, LA, formed 05/2016 - Member of this entity formed to invest in a private placement of SkyCoach, LLC.A passive investment; minimal time spent. 9)Like Four, Ltd, Shreveport, LA Member since 07/1984;an investment club invests in stocks of publicly traded Cos; 2 hrs/mo primarily outside of securities trading hours. Mr. Pugh also serves as an agent for service of process for the following entities: Zoe' Witt Limited Partnership and Tatum Investment Company, L.L.C. 10) Like Five, LLC, 2695 Long Lake Drive, Shreveport, LA 71106, Investment Related, Member as of 4/30/2010 and Manager effective in June 2022, Like Five, LLC holds an investment in a private placement. Devotes 0.25 hours per month all of which is during securities trading hours. Duties include maintaining registration with the Secretary of State and monitoring mail for notices regarding its investment in the private placement.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
September 6, 2018 - August 6, 2024
HMV WEALTH ADVISORS, LLC
RIA
CRD#: 297747
SHREVEPORT, LA
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".
HW
HMV WEALTH ADVISORS, LLC
HMV WEALTH ADVISORS, LLC
CRD#: 297747 / SEC#: 801-127046
RIA
Registered Investment Advisory firm - (12/16/2022 Approved)Louisiana
Registered Investment Advisory firm - (1/3/2023 Terminated)Texas
Registered Investment Advisory firm - (12/22/2022 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Current Firm
HW
HMV WEALTH ADVISORS, LLC
HMV WEALTH ADVISORS, LLC
CRD#: 297747 / SEC#: 801-127046
RIA
Registered Investment Advisory firm - (12/16/2022 Approved)Louisiana
Registered Investment Advisory firm - (1/3/2023 Terminated)Texas
Registered Investment Advisory firm - (12/22/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
333 Texas Street Suite 1525, Shreveport, LA 71101
Mailing Address
Phone number
(318) 517-6255
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 113 |
| AUM (Assets Under Management) | $ 464,771,467 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/31/2025 | ||
| 02/26/2024 | ||
| 12/28/2022 |
Red Flags
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