{"url":"https://nivawealth.com/firms/santa-fe-advisors-170872","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/170872","regulatoryAum":116141100,"crd":"170872","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2908861","suffix":null,"lastName":"ALLEY","firstName":"KRISTINA","middleName":"ELISABETH"},{"crd":"2714486","suffix":null,"lastName":"KANTOR","firstName":"DAVID","middleName":"BRUCE"}],"total":2,"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":"2021-03-31","regulatoryAum":160830000,"clients":90,"employees":5,"offices":1},{"filedOn":"2022-03-29","regulatoryAum":182517000,"clients":96,"employees":4,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":158333000,"clients":90,"employees":5,"offices":1},{"filedOn":"2024-03-21","regulatoryAum":170827000,"clients":90,"employees":5,"offices":1},{"filedOn":"2025-03-19","regulatoryAum":177474000,"clients":91,"employees":5,"offices":1},{"filedOn":"2026-03-27","regulatoryAum":116141100,"clients":59,"employees":5,"offices":1}],"secFileNumber":"801-113760","legalName":"Santa Fe Advisors LLC","displayName":"Santa Fe Advisors","slug":"santa-fe-advisors-170872","website":"https://santafeadvisorsllc.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/170872/6eb4662df66bd24b-r1.webp","tone":"light","width":452,"height":200,"sourceUrl":"https://www.santafeadvisorsllc.com/","sourceLabel":"Santa FE Advisors LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"New Mexico limited liability company","fiscalYearEnd":"December","headquarters":{"street":"330 Garfield Street, Ste. 301","city":"Santa Fe","state":"NM","stateName":"New Mexico","country":"United States","postalCode":"87501"},"tradeNames":[],"registration":{"secApproved":"27 July 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1856194.9152542374,"staff":{"employees":5,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":116141100,"discretionary":112697200,"discretionaryAccounts":150,"nonDiscretionary":3443900,"nonDiscretionaryAccounts":1,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":2},"clientTypes":[{"label":"Individuals (other than HNW)","clients":7,"regulatoryAum":4349700},{"label":"High-net-worth individuals","clients":52,"regulatoryAum":105165800},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":6625600}],"feePrograms":[{"role":"other","program":"Financial Planning Only","summary":"Financial-planning-only services are charged on an hourly basis, negotiated based on the scope of the engagement; no rate is stated.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029752","versionId":1029752,"submittedOn":"2026-03-27","documentName":"2025 ANNUAL AMENDMENT ADV PT. 2 SANTA FE ADVISORS"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:56:28.233678+00:00","documents":[{"name":"2025 ANNUAL AMENDMENT ADV PT. 2 SANTA FE ADVISORS","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029752","versionId":1029752,"submittedOn":"2026-03-27"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Jersey City, NJ","smaAssets":115387900}],"custodyNote":"Santa Fe Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Kristina Alley","title":"Chief Compliance Officer & Partner","crd":"2908861"},{"name":"David Kantor","title":"Partner","crd":"2714486"}],"ownership":[{"label":"David Kantor","detail":"Partner in the 10% to 25% ownership band and a control person, since March 2014."},{"label":"Kristina Alley","detail":"Chief compliance officer & partner in the 25% to 50% ownership band and a control person, since April 2014."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New Mexico","offices":1,"addresses":[{"street":"330 Garfield Street, Ste. 301","city":"Santa Fe","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"505-501-6200","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":7},{"label":"Securities issued by registered investment companies or business development companies","percent":91},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"27 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/170872/PDF/170872.pdf","brochureDate":"27 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029752","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 Santa Fe Advisors have?","answer":"Santa Fe Advisors has 59 clients and manages $116 million for them, as of March 2026. They include 52 high-net-worth individuals and 7 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Santa Fe Advisors offer?","answer":"Santa Fe Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, 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 Santa Fe Advisors use?","answer":"Santa Fe Advisors’ separately managed account assets are held at National Financial Services LLC (Jersey City, NJ), with $115M. 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 Santa Fe Advisors have?","answer":"Santa Fe Advisors has 2 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Santa Fe Advisors invest in?","answer":"At the end of its last fiscal year, Santa Fe Advisors’ separately managed accounts held 91% registered funds (mutual funds, ETFs, BDCs), 7% exchange-traded equities and 2% cash and equivalents.","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 Santa Fe Advisors?","answer":"Santa Fe Advisors’ direct owners are David Kantor and Kristina Alley, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Santa Fe Advisors get paid?","answer":"Santa Fe Advisors is paid through a percentage of assets under management and fixed fees. 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 Santa Fe Advisors?","answer":"Santa Fe Advisors’ main office is at 330 Garfield Street, Ste. 301, Santa Fe, NM 87501. Its phone number is 505-501-6200. Its website is santafeadvisorsllc.com.","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."}