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.
SEC-registered adviser
Santa Fe Advisors LLC
Latest filing Mar 27, 2026
First filing on the tape Jun 29, 2018 · 12 filings
SEC status approved since Jul 27, 2018
RAUM
$116M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
94%
$110M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$58.1M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$116M as of Mar 27, 2026
Mar 29, 2019$113M then
HNW client RAUM$105M as of Mar 27, 2026
Mar 29, 2019$96.6M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 29, 20193 then
Employees (5.A)5 as of Mar 27, 2026
Mar 29, 20195 then
Private funds: no history
RAUM -35% over the last fiscal year-9.8% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $58.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $769,146derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -35%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -35%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$105M91%
- Charitable organizations$6.6M5.7%
- Individuals$4.3M3.7%
- Individual clients
- 7reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 151reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David Bruce Kantor | Santa Fe, Nm | Apr 14, 2014 | 28 y | 1 |
| Kristina Elisabeth AlleyCertified Financial Planner | Santa Fe, Nm | Dec 16, 2014 | 28 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- David Evan Marion to Post Oak Private Wealth AdvisorsOct 2, 2025 · RIA to RIA
Joined, latest
- David Evan Marion from First Santa Fe Advisors, LLCJan 9, 2015 · Other
- Kristina Elisabeth Alley from LPL Financial LLCDec 16, 2014 · Other
- David Bruce Kantor from First Santa Fe Advisors, LLCApr 14, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Elisabeth Kristina Alley · Chief Compliance Officer & Partnercontrolsince 04/2014 · owns 25% to 50%
- Bruce David Kantor · Partnercontrolsince 03/2014 · owns 10% to 25%
- Evan David Marion · Partnercontrolsince 04/2014 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Santa Fe, Nm · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $177,474,000 to $116,141,100 (-35.0%) between the annual amendments of 2025-03-19 and 2026-03-27; the peer median change was +15.0% (4551 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 1.1% percentile
What changed
consecutive filings, newest first
- RAUM · $177M to $116MOct 2, 2025 to Mar 27, 2026
- Accounts · 220 to 151Oct 2, 2025 to Mar 27, 2026
- Advisory employees · 3 to 4Oct 2, 2025 to Mar 27, 2026
- HNW clients · 75 to 52Oct 2, 2025 to Mar 27, 2026
- Individual clients · 16 to 7Oct 2, 2025 to Mar 27, 2026
- Employees · 4 to 5Oct 2, 2025 to Mar 27, 2026
- Discretionary RAUM · $173M to $113MOct 2, 2025 to Mar 27, 2026
- HNW RAUM · $160M to $105MOct 2, 2025 to Mar 27, 2026
- Individual RAUM · $7.4M to $4.3MOct 2, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $4.6M to $3.4MOct 2, 2025 to Mar 27, 2026
- Pension RAUM · 3896000.0 to unsetOct 2, 2025 to Mar 27, 2026
- Advisory employees · 4 to 3Mar 19, 2025 to Oct 2, 2025
- Employees · 5 to 4Mar 19, 2025 to Oct 2, 2025
- State-registered IARs · 3 to 2Mar 19, 2025 to Oct 2, 2025
- Accounts · 225 to 220Mar 21, 2024 to Mar 19, 2025
- Individual clients · 15 to 16Mar 21, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 1-10Mar 21, 2024 to Mar 19, 2025
- Discretionary RAUM · $166M to $173MMar 21, 2024 to Mar 19, 2025
- HNW RAUM · $156M to $160MMar 21, 2024 to Mar 19, 2025
- Individual RAUM · $5.3M to $7.4MMar 21, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $4.8M to $4.6MMar 21, 2024 to Mar 19, 2025
- Pension RAUM · $3.5M to $3.9MMar 21, 2024 to Mar 19, 2025
- RAUM · $171M to $177MMar 21, 2024 to Mar 19, 2025
- Accounts · 223 to 225Mar 31, 2023 to Mar 21, 2024
- HNW clients · 70 to 75Mar 31, 2023 to Mar 21, 2024
- Individual clients · 20 to 15Mar 31, 2023 to Mar 21, 2024
- Financial planning clients · 0 to 1-10Mar 31, 2023 to Mar 21, 2024
- Discretionary RAUM · $149M to $166MMar 31, 2023 to Mar 21, 2024
- HNW RAUM · $140M to $156MMar 31, 2023 to Mar 21, 2024
- Individual RAUM · $8.9M to $5.3MMar 31, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $9.4M to $4.8MMar 31, 2023 to Mar 21, 2024
- Pension RAUM · $3.7M to $3.5MMar 31, 2023 to Mar 21, 2024
- RAUM · $158M to $171MMar 31, 2023 to Mar 21, 2024
- Accounts · 219 to 223Mar 29, 2022 to Mar 31, 2023
- Advisory employees · 3 to 4Mar 29, 2022 to Mar 31, 2023
- Charity clients · 4.0 to unsetMar 29, 2022 to Mar 31, 2023
- HNW clients · 69 to 70Mar 29, 2022 to Mar 31, 2023
- Pension plan clients · 3.0 to unsetMar 29, 2022 to Mar 31, 2023
- Employees · 4 to 5Mar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $179M to $149MMar 29, 2022 to Mar 31, 2023
Signals
2 dated events
- David Evan Marion left Santa Fe Advisors Llc for Post Oak Private Wealth Advisors (registered 2025-10-01)Oct 2, 2025 · Advisor changed firm · fact
- Santa Fe Advisors Llc filed its initial SEC registration (Form ADV)Jun 29, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Santa Fe Advisors LLC · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 505-501-6200reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 505-501-6220reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- SANTAFEADVISORSLLC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 505-501-6200reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- santafeadvisorsllc.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $58.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026