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CRD 170872
SANTA FE, NM
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| DAVID BRUCE KANTOR | n/a | SANTA FE, NM | 12 | 28 | 1 | no |
| KRISTINA ELISABETH ALLEY | Certified Financial Planner | SANTA FE, NM | 11 | 28 | 2 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ALLEY, KRISTINA, ELISABETH | CHIEF COMPLIANCE OFFICER & PARTNER | C | yes | 04/2014 | Jun 29, 2018 | Mar 21, 2024 |
| KANTOR, DAVID, BRUCE | Partner | B | yes | 03/2014 | Jun 29, 2018 | Mar 21, 2024 |
| MARION, DAVID, EVAN | Partner | C | yes | 04/2014 | Jun 29, 2018 | Mar 21, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 27, 2026 | $116M | $113M | 5 | 4 | 0 | n/a | n/a |
| 2024 | Mar 19, 2025 | $177M | $173M | 5 | 4 | 0 | n/a | n/a |
| 2023 | Mar 21, 2024 | $171M | $166M | 5 | 4 | 0 | n/a | n/a |
| 2022 | Mar 31, 2023 | $158M | $149M | 5 | 4 | 0 | n/a | n/a |
| 2021 | Mar 29, 2022 | $183M | $179M | 4 | 3 | 0 | n/a | n/a |
| 2020 | Mar 31, 2021 | $161M | $152M | 5 | 3 | 0 | n/a | n/a |
| 2019 | Apr 1, 2020 | $153M | $143M | 5 | 3 | 0 | n/a | n/a |
| 2018 | Mar 29, 2019 | $113M | $110M | 5 | 3 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 50.0% | 0 | 0 | 0 | 0 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $116M | $177M | -34.6% | $158M | -9.8% | 5 | 5 | 0 | 0 |