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Santa Fe, NM • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2021-01-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fish Advisory, Llc | Santa Fe | NM | 10/2020 | Present |
| Fish Leadership Consulting, Llc | Santa Fe | NM | 09/2003 | Present |
Owner/CEO: Fish Leadership Consulting, LLC. Not investment related; I provide leadership, strategic and program development consulting services to for-profit businesses, non-profits, universities and K-12 schools in the United States and abroad. The address is 9 Camino Sin Ganas, Santa Fe, NM 87506. Start date was September of 2003. Work is variable, depending upon the demand. The range is typically 30 hours/wk. Some of these hours occur during securities trading hours. Duties encompass all aspects of the business: sales, marketing, administrative, development of intellectual property, delivery of services. President of the Board, Link Hands for Humanity 501 c 3 b. A church, Link Hands is dedicated to running programs and supporting individuals in the areas of ecology, medicine and education. This is not investment related. Office is 9 Camino Sin Ganas, Santa Fe, NM 87506. Start Date: I have served as President since 1/1/2010. I devote 5 hours per month. These are typically not during trading hours. I provide high level strategic guidance to assure that programs are in alignment with the organization's mission and are likely to meet their program goals. (2) 75% Shareholder: BiblioHive, LLC; CEO; Not investment related; BiblioHive operates and sells an App that allows users to save, store and organize digital information online. The address is 6 Ranch House Rd, Santa Fe, NM 87506. Start date was August of 2014. Work is 1 hour/mo. (3) Single Member LLC; Owner/CEO: Philos Institute, LLC; Not investment related; Philos Institute is an LLC that provides leadership, strategic and program development consulting services K-12 schools in the United States. The address is 6 Ranch House Rd, Santa Fe, NM 87506. Start date was December of 2018. Work is 8 hours/mo. Some of these hours occur during securities trading hours. Duties encompass all aspects of the business: sales, marketing, administrative, development of intellectual property, delivery of services
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-10-05 |
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