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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

DOMINIC MARK ALTO

Advisor at HILLTOP SECURITIES ASSET MANAGEMENT, LLC

DALLAS, TX

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Search this name across graphsid dfx:ria:4dae61fb-4e8b-2bfa-b29b-f9c520a08747

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 25, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HILLTOP SECURITIES ASSET MANAGEMENT, LLC
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 19, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 19, 2005
First registration: Jan 25, 2005
Dual registered: yes, broker-dealer
Other names: DOMINIC ALTO
IAPD individual key: 4859296

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HILLTOP SECURITIES ASSET MANAGEMENT, LLC	Institutional manager	May 14, 2026	n/a	yes	DALLAS, TX	Current employment
THORNBURG INVESTMENT MANAGEMENT INC	Asset manager	Jan 5, 2018	Jul 14, 2025	no	SANTA FE, NM	Previous registration
BPV CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jun 10, 2015	Jun 2, 2016	no	KNOXVILLE, TN	Previous registration
NUVEEN ASSET MANAGEMENT, LLC	Mixed wealth	Sep 1, 2011	Jun 20, 2014	no	CHICAGO, IL	Previous registration
NUVEEN FUND ADVISORS, LLC	Asset manager	Oct 7, 2008	Sep 1, 2011	no	CHICAGO, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 26, 2007	Sep 29, 2008	no	CHICAGO, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 25, 2005	Aug 30, 2005	no	JACKSONVILLE, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
THORNBURG INVESTMENT MANAGEMENT INC	HILLTOP SECURITIES ASSET MANAGEMENT, LLC	Jul 14, 2025	May 14, 2026	304	Firm change	Other
BPV CAPITAL MANAGEMENT, LLC	THORNBURG INVESTMENT MANAGEMENT INC	Jun 2, 2016	Jan 5, 2018	582	Firm change after gap	Other
NUVEEN ASSET MANAGEMENT, LLC	BPV CAPITAL MANAGEMENT, LLC	Jun 20, 2014	Jun 10, 2015	355	Firm change	Other
NUVEEN FUND ADVISORS, LLC	NUVEEN ASSET MANAGEMENT, LLC	Sep 1, 2011	Sep 1, 2011	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	NUVEEN FUND ADVISORS, LLC	Sep 29, 2008	Oct 7, 2008	8	Firm change	Other

Relationships

Registered with (6)

→ HILLTOP SECURITIES ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
May 14, 2026 to presentfactForm ADV
→ THORNBURG INVESTMENT MANAGEMENT INCRegistered adviserregistration: previous registration
Jan 5, 2018 to Jul 14, 2025factForm ADV
→ BPV CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 10, 2015 to Jun 2, 2016factForm ADV
→ NUVEEN ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 1, 2011 to Jun 20, 2014factForm ADV
→ NUVEEN FUND ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 7, 2008 to Sep 1, 2011factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 26, 2007 to Sep 29, 2008factForm ADV

Dated events

Occurred
Jul 14, 2025
Advisor changed firm
Dominic Mark Alto left Thornburg Investment Management Inc for Hilltop Securities Asset Management, Llc (registered 2026-05-14)
Form ADVobserved 5 days ago