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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

SANSOTERRA GROUP LLC

CRD 133586

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8907c400-89b5-e02f-e89c-e4707654b94c

Data as of Sep 14, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 14, 2012 to Sep 14, 2012
5 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $26.0MItem 5.F on the latest filing (2012-09-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $16.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $26.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Accounts: 11
SEC number: 801-63774
CRD: 133586
Filings on the tape: 5
First filed: Feb 14, 2012
Latest filed: Sep 14, 2012
Organised: Limited Liability Company, California

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JAMES ANTHONY SANSOTERRA	n/a	FREDERICKSBURG, TX	5	21	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SANSOTERRA, JAMES, ANTHONY	PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER	E	yes	12/2004	Feb 14, 2012	Sep 14, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Feb 14, 2012	$35.0M	$26.0M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$26.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Registered with (1)

← JAMES ANTHONY SANSOTERRAAdvisorregistration: current employment
Mar 15, 2021 to presentfactForm ADV

Controls (1)

← SANSOTERRA, JAMES, ANTHONYOwnerPRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER, ownership code E, individual
Feb 14, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8907c400-89b5-e02f-e89c-e4707654b94c
First observed: Feb 14, 2012
Last observed: Sep 14, 2012 170 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SANSOTERRA GROUP LLC

CRD 133586

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8907c400-89b5-e02f-e89c-e4707654b94c

Data as of Sep 14, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:10 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JAMES ANTHONY SANSOTERRA

n/a

FREDERICKSBURG, TX

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SANSOTERRA, JAMES, ANTHONY

PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER

yes

12/2004

Feb 14, 2012

Sep 14, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Feb 14, 2012

$35.0M

$26.0M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$26.0M

n/a