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
Altamira Financial Group, LLC
Latest filing Mar 27, 2026
First filing on the tape Oct 5, 2021 · 15 filings
SEC status approved since Mar 3, 2025
RAUM
$130M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$128M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$43.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$130M as of Mar 27, 2026
May 3, 2022$91.3M then
HNW client RAUM$108M as of Mar 27, 2026
May 3, 2022$57.5M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
May 3, 20224 then
Employees (5.A)3 as of Mar 27, 2026
May 3, 20224 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $43.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.8MderivedHNW RAUM over HNW clients
- Average account
- $620,602derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.2%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $261MreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$108M83%
- Individuals$20.2M16%
- Pension and profit-sharing plans$2.1M1.6%
- Individual clients
- 99reported
- HNW clients
- 16reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 210reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $130M sponsored, $130M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kerry Douglas Lee | Santa Fe, Nm | Dec 21, 2021 | 30 y | 1 |
| Gonzalo RufattCertified Financial Planner | Santa Fe, Nm | Jan 4, 2022 | 22 y | 6 |
| David George Risser | Santa Fe, Nm | Jan 7, 2022 | 39 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- David George Risser from Financial Partners, LLCJan 7, 2022 · RIA to a newly registered adviser
- Gonzalo Rufatt from Financial Partners, LLCJan 4, 2022 · RIA to a newly registered adviser
- Kerry Douglas Lee from Financial Partners, LLCDec 21, 2021 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Financial Partners, LLCJan 3, 2022 · Santa Fe, Nm · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Douglas Kerry Lee · Managing Member, Ccocontrolsince 09/2021 · owns 75% or more
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 | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 201 to 210Jun 13, 2025 to Mar 27, 2026
- Individual clients · 104 to 99Jun 13, 2025 to Mar 27, 2026
- Discretionary RAUM · $116M to $130MJun 13, 2025 to Mar 27, 2026
- HNW RAUM · $96.1M to $108MJun 13, 2025 to Mar 27, 2026
- Individual RAUM · $18.0M to $20.2MJun 13, 2025 to Mar 27, 2026
- Pension RAUM · $1.8M to $2.1MJun 13, 2025 to Mar 27, 2026
- RAUM · $116M to $130MJun 13, 2025 to Mar 27, 2026
- Wrap assets (manager) · $116M to $130MJun 13, 2025 to Mar 27, 2026
- Wrap assets (sponsor) · $116M to $130MJun 13, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 4, 2025 to Jun 13, 2025
- Accounts · 198 to 201Jun 3, 2022 to Mar 4, 2025
- Advisory employees · 4 to 3Jun 3, 2022 to Mar 4, 2025
- BD registered reps · 4 to 3Jun 3, 2022 to Mar 4, 2025
- HNW clients · 8 to 16Jun 3, 2022 to Mar 4, 2025
- Individual clients · 102 to 104Jun 3, 2022 to Mar 4, 2025
- Employees · 4 to 3Jun 3, 2022 to Mar 4, 2025
- Financial planning clients · 1-10 to 0Jun 3, 2022 to Mar 4, 2025
- State-registered IARs · 4 to 3Jun 3, 2022 to Mar 4, 2025
- Discretionary RAUM · $91.3M to $116MJun 3, 2022 to Mar 4, 2025
- HNW RAUM · $57.5M to $96.1MJun 3, 2022 to Mar 4, 2025
- Individual RAUM · $33.9M to $18.0MJun 3, 2022 to Mar 4, 2025
- Pension RAUM · unset to 1843438.0Jun 3, 2022 to Mar 4, 2025
- RAUM · $91.3M to $116MJun 3, 2022 to Mar 4, 2025
- Wrap assets (manager) · $91.3M to $116MJun 3, 2022 to Mar 4, 2025
- Wrap assets (sponsor) · $91.3M to $116MJun 3, 2022 to Mar 4, 2025
- Accounts · unset to 198.0Nov 4, 2021 to Feb 24, 2022
- Advisory employees · 5 to 4Nov 4, 2021 to Feb 24, 2022
- Advisory activities · 3 to 4Nov 4, 2021 to Feb 24, 2022
- BD registered reps · 5 to 4Nov 4, 2021 to Feb 24, 2022
- HNW clients · unset to 8.0Nov 4, 2021 to Feb 24, 2022
- Individual clients · unset to 102.0Nov 4, 2021 to Feb 24, 2022
- Employees · 5 to 4Nov 4, 2021 to Feb 24, 2022
- State-registered IARs · 5 to 4Nov 4, 2021 to Feb 24, 2022
- Discretionary RAUM · unset to 91322196.0Nov 4, 2021 to Feb 24, 2022
- HNW RAUM · unset to 57453934.0Nov 4, 2021 to Feb 24, 2022
- Individual RAUM · unset to 33868262.0Nov 4, 2021 to Feb 24, 2022
- Non-discretionary RAUM · unset to 0.0Nov 4, 2021 to Feb 24, 2022
- RAUM · unset to 91322196.0Nov 4, 2021 to Feb 24, 2022
- Wrap assets (manager) · $0 to $91.3MNov 4, 2021 to Feb 24, 2022
- Wrap assets (sponsor) · $0 to $91.3MNov 4, 2021 to Feb 24, 2022
Signals
2 dated events
- Financial Partners, LLC's advisors moved to Altamira Financial Group, LLC (Santa FE, NM): 3 of 5 registered, on the same dayJan 3, 2022 · Firm absorbed (people side) · derived
- Altamira Financial Group, Llc filed its initial SEC registration (Form ADV)Oct 5, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 505-477-3334reportedpublic record, Form ADV, Mar 27, 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
- $43.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026