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.

Former SEC-registered adviser

First Santa Fe Advisors, LLC

Former SEC-registered adviserSanta Fe, New MexicoCRD 143742SEC 801-67927IAPD
Latest filing May 7, 2014
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$177M
reported, Item 5.F
Discretionary
49%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$177M as of Mar 19, 2014
Mar 29, 2012$219M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 19, 2014
Mar 25, 20133 then
Employees (5.A)8 as of Mar 19, 2014
Mar 25, 20138 then
Private funds: no history
RAUM +10% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of May 7, 2014; every figure names its basis
RAUM per advisor
$59.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$514,430derivedRAUM over accounts (5.F.2.f)
Discretionary
49%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+10%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
345reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Anne Barbara Backman · Chief Compliance Officercontrol
      since 04/2014 · owns less than 5%
    • Victor William Zaleski · Managing Directorcontrol
      since 04/2014 · owns less than 5%
    • David William Sanders · Shareholdercontrol
      since 05/2013 · owns 25% to 50% of Strategic Growth Bank Incorporated
    Entity owners
    • First National Bancorp, Inc. · Shareholder
      direct · owns 75% or more
    • Southwest Banking Partners, LP · Shareholder
      indirect · owns 25% to 50% of Strategic Growth Bank Incorporated
    • Strategic Growth Bancorp Incorporated · Shareholder
      indirect · owns 75% or more of First National Bancorp, Inc.
    • Strategic Growth Bank Incorporated · Shareholder
      indirect · owns 25% to 50% of Strategic Growth Bancorp Incorporated
    Related persons
    Schedule D 7.A
    • Bank Of The Rio Grande, N.A.
      n
    • Capital Bank, Ssb
      n
    • First Santa Fe Insurance Services
      real estaten
    • Mile High Banks
      n
    • Strategic Lending Group Incorporated
      n
    • The First National Bank Of Santa Fe
      custodiann
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 377 to 345
      Jun 20, 2013 to Mar 19, 2014
    • Discretionary RAUM · $38.9M to $86.9M
      Jun 20, 2013 to Mar 19, 2014
    • Non-discretionary RAUM · $122M to $90.6M
      Jun 20, 2013 to Mar 19, 2014
    • RAUM · $161M to $177M
      Jun 20, 2013 to Mar 19, 2014
    • Accounts · 101 to 377
      Nov 26, 2012 to Mar 25, 2013
    • State-registered IARs · 0 to 3
      Nov 26, 2012 to Mar 25, 2013
    • Discretionary RAUM · $0 to $38.9M
      Nov 26, 2012 to Mar 25, 2013
    • Non-discretionary RAUM · $219M to $122M
      Nov 26, 2012 to Mar 25, 2013
    • RAUM · $219M to $161M
      Nov 26, 2012 to Mar 25, 2013
    • Advisory employees · unset to 6.0
      Aug 27, 2012 to Nov 26, 2012
    • BD registered reps · unset to 0.0
      Aug 27, 2012 to Nov 26, 2012
    • Employees · unset to 8.0
      Aug 27, 2012 to Nov 26, 2012
    • State-registered IARs · unset to 0.0
      Aug 27, 2012 to Nov 26, 2012
    • Related adviser · true to false
      May 1, 2012 to Aug 27, 2012
    • Related bank · true to false
      May 1, 2012 to Aug 27, 2012
    • Legal name · FIRST SANTA FE WEALTH ADVISORS, LLC to FIRST SANTA FE ADVISORS, LLC
      Mar 29, 2012 to May 1, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026