{"url":"https://nivawealth.com/firms/altamira-financial-group-316907","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/316907","regulatoryAum":130326433,"crd":"316907","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2688537","suffix":null,"lastName":"LEE","firstName":"KERRY","middleName":"DOUGLAS"},{"crd":"1634106","suffix":null,"lastName":"RISSER","firstName":"DAVID","middleName":"GEORGE"},{"crd":"4686876","suffix":null,"lastName":"RUFATT","firstName":"GONZALO","middleName":null}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-06-13","regulatoryAum":115920360,"clients":120,"employees":3,"offices":1},{"filedOn":"2026-03-27","regulatoryAum":130326433,"clients":115,"employees":3,"offices":1}],"secFileNumber":"801-132045","legalName":"Altamira Financial Group, LLC","displayName":"Altamira Financial 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HNW)","clients":99,"regulatoryAum":20215404},{"label":"High-net-worth individuals","clients":16,"regulatoryAum":108025118},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":2085911}],"feePrograms":[{"role":"other","program":"Financial Planning & Consulting","summary":"Stand-alone financial planning and limited-scope consulting are billed hourly at $200 per hour, with the total fee discussed and specified in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029521","versionId":1029521,"submittedOn":"2026-03-27","documentName":"2A BROCHURE"},{"role":"other","program":"Retirement Plan Advisory Services","summary":"Retirement plan advisory fees are negotiated with the plan sponsor and do not exceed 1.25% annually.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029521","versionId":1029521,"submittedOn":"2026-03-27","documentName":"2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T17:04:48.441854+00:00","documents":[{"name":"2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029521","versionId":1029521,"submittedOn":"2026-03-27"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013977","versionId":1013977,"submittedOn":null}]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Fort Mill, SC","smaAssets":130326433}],"custodyNote":"Altamira Financial Group does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Kerry Lee","title":"Managing Member, CCO","crd":"2688537"}],"ownership":[{"label":"Kerry Lee","detail":"Managing member, cco in the 75% or more ownership band and a control person, since September 2021."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New Mexico","offices":1,"addresses":[{"street":"1012 Marquez Place, Unit 204a","city":"Santa Fe","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"505-477-3334","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":20},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":10},{"label":"Securities issued by registered investment companies or business development companies","percent":67},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":1,"detail":"Annuities"}],"privateFunds":0},"sources":{"adv1FilingDate":"27 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/316907/PDF/316907.pdf","brochureDate":"27 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029521","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Altamira Financial Group have?","answer":"Altamira Financial Group has 115 clients and manages $130 million for them, as of March 2026. They include 99 individual clients and 16 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Altamira Financial Group offer?","answer":"Altamira Financial Group provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Altamira Financial Group use?","answer":"Altamira Financial Group’s separately managed account assets are held at LPL Financial LLC (Fort Mill, SC), with $130M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Altamira Financial Group have?","answer":"Altamira Financial Group has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Altamira Financial Group invest in?","answer":"At the end of its last fiscal year, Altamira Financial Group’s separately managed accounts held 67% registered funds (mutual funds, ETFs, BDCs), 20% exchange-traded equities, 10% state and local bonds, 1% U.S. government and agency bonds, 1% cash and equivalents and 1% other. The 1% other category is described as: Annuities.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Altamira Financial Group?","answer":"Altamira Financial Group’s direct owner is Kerry Lee (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Altamira Financial Group get paid?","answer":"Altamira Financial Group is paid through a percentage of assets under management and hourly charges. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Altamira Financial Group?","answer":"Altamira Financial Group’s main office is at 1012 Marquez Place, Unit 204a, Santa Fe, NM 87505. Its phone number is 505-477-3334.","source":"Form ADV Part 1A, Item 1.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}