DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Sam Te Su

Aegis Capital Corp.BD affiliatedNew York, Ny dual registrantIAPD 4232029

Certified Financial Planner

Feed of 09/17/2026

Also filed as Sam Su

At current firm

0 y

since Sep 15, 2026

In the industry

25 y

since Nov 10, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Aegis Capital Corp. BD affiliated current
since Sep 15, 2026 · New York, Ny
Ameriprise Financial Services, LLC national BD
Feb 25, 2025 to Sep 2, 2026 · Union City, Ca
Morgan Stanley wirehouse
Sep 15, 2023 to Feb 7, 2025 · San Francisco, Ca
UBS Financial Services Inc. wirehouse
Dec 1, 2008 to Sep 26, 2023 · San Francisco, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
May 18, 2005 to Dec 2, 2008 · San Francisco, Ca
Morgan Stanley Dw Inc. unclassified
Sep 18, 2002 to May 16, 2005 · Fremont, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Nov 17, 2000 to Jul 22, 2002 · Oakland, Ca

Moves

a registration end followed by a registration begin elsewhere

Ameriprise Financial Services, LLC to Aegis Capital Corp.
left Sep 2, 2026, registered Sep 15, 2026 (13 days) · Affiliated broker-dealer or bank to another · moved with a team
Morgan Stanley to Ameriprise Financial Services, LLC
left Feb 7, 2025, registered Feb 25, 2025 (18 days) · Wirehouse to affiliated broker-dealer or bank
UBS Financial Services Inc. to Morgan Stanley
left Sep 26, 2023, registered Sep 15, 2023 (-11 days) · Wirehouse to wirehouse
Merrill Lynch, Pierce, Fenner & Smith Incorporated to UBS Financial Services Inc.
left Dec 2, 2008, registered Dec 1, 2008 (-1 days) · Wirehouse to wirehouse
Morgan Stanley Dw Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left May 16, 2005, registered May 18, 2005 (2 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley Dw Inc.
left Jul 22, 2002, registered Sep 18, 2002 (58 days) · Other

Signals

Sam Te Su added a CA registration at Aegis Capital Corp.
Sep 16, 2026 · New state registration · fact
Sam Te Su added a TX registration at Aegis Capital Corp.
Sep 15, 2026 · New state registration · fact
Sam Te Su registered as an investment adviser representative at Aegis Capital Corp.
Sep 15, 2026 · Advisor registered · fact
Sam Te Su left Ameriprise Financial Services, LLC for Aegis Capital Corp. (registered 2026-09-15)
Sep 2, 2026 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address