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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

S••••• T• A••

M•• I•••••••• S•••••••• L••BD affiliatedPleasanton, Ca dual registrantIAPD 6645719

Feed of 09/15/2026

Also filed as Sam Theodore Alt

At current firm

1 y

since Mar 26, 2025

In the industry

10 y

since Feb 1, 2016 (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

M•• I•••••••• S•••••••• L•• BD affiliated current
since Mar 26, 2025 · Pleasanton, Ca
L•• E••••••••• L•• BD affiliated
Nov 14, 2024 to Apr 2, 2025 · San Diego, Ca
P•••• S••••••••• L•• no RAUM
Jul 12, 2024 to Nov 14, 2024 · San Diego, Ca
M••••• S•••••• wirehouse
Nov 2, 2021 to Apr 25, 2024 · San Diego, Ca
W•••• F•••• A••••••• wirehouse
May 12, 2021 to Nov 1, 2021 · St. Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

L•• E••••••••• L•• to M•• I•••••••• S•••••••• L••
left Apr 2, 2025, registered Mar 26, 2025 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
M••••• S•••••• to P•••• S••••••••• L••
left Apr 25, 2024, registered Jul 12, 2024 (78 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to M••••• S••••••
left Nov 1, 2021, registered Nov 2, 2021 (1 days) · Wirehouse to wirehouse

Signals

S••••• T• A•• left L•• E••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2025-03-26)
Apr 2, 2025 · Advisor changed firm · fact
S••••• T• A•• left M••••• S•••••• for P•••• S••••••••• L•• (registered 2024-07-12)
Apr 25, 2024 · 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address