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Current Employers
Sun Mountain Capital Advisors, Llc

527 Don Gaspar Avenue, Santa Fe, NM 87505 • United States

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 2013-02-25
  • NM RA
    APPROVED
    Since 2013-02-25

Branch Locations

527 Don Gaspar Avenue, Santa Fe, NM 87505 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sun Mountain Capital Santa Fe NM 09/2006 Present
  • 09/2006 → Present
    Sun Mountain Capital
    Santa Fe, NM
Other Businesses

1-SUN MOUNTAIN CAPITAL PARTNERS LLC, WHICH IS INVESTMENT RELATED, AT 301 GRIFFIN STREET, SANTA FE, NM 87501, AND IS THE GENERAL PARTNER OF A POOLED INVESTMENT VEHICLE, OF WHICH I AM THE MANAGING MEMBER, STARTING JANUARY 2007, DEVOTING HOURS AS NEEDED DURING THE WORKING DAY, PERFORMING DUTIES OF A MEMBER. IN CONNECTION THEREWITH, I HOLD DIRECTOR POSITIONS WITH THE FOLLOWING PORTFOLIO COMPANIES OF THE POOLED INVESTMENT VEHICLE: AMERICAN CLAY CORPORATION, ASPEN AVIONICS,INC., EXAGEN DIAGNOSTICS, INC., GROWSTONE LLC, LUMIDIGM, INC., PUENTE PARTNERS, LLC, AND SOUTHWEST MEDICAL TECHNOLOGIES, LLC, AND DIRECTOR POSITIONS WITH AZANO PHARMACEUTICALS,INC. THROUGH PUENTE PARTNERS LLC AND AGILVAX THROUGH SOUTHWEST MEDICAL TECHNOLOGIES, LLC. 2-SUN MOUNTAIN CAPITAL LLC, WHICH IS INVESTMENT RELATED, AT 301 GRIFFIN STREET, SANTA FE, NM 87501, AND IS THE MANAGER OF A POOLED INVESTMENT VEHICLE, OF WHICH I AM THE MANAGING MEMBER, STARTING SEPTEMBER 2006, DEVOTING HOURS AS NEEDED DURING THE WORKING DAY, PERFORMING DUTIES OF A MEMBER. 3-SUN MOUNTAIN CAPITAL PARTNERS (MEXICO) LP, WHICH IS INVESTMENT RELATED, AT 301 GRIFFIN STREET, SANTA FE, NM 87501, AND IS THE CO-GENERAL PARTNER OF A POOLED INVESTMENT VEHICLE, OF WHICH I AM A PARTNER, STARTING DECEMBER 2010, DEVOTING HOURS AS NEEDED DURING THE WORKING DAY, PERFORMING DUTIES OF A PARTNER. 4-SUN MOUNTAIN CAPITAL PARTNERS (MEXICO) GP, LLC, WHICH IS INVESTMENT RELATED, AT 301 GRIFFIN STREET, SANTA FE, NM 87501, AND IS THE GENERAL PARTNER OF THE GENERAL PARTNER OF A POOLED INVESTMENT VEHICLE, OF WHICH I AM A MEMBER, STARTING DECEMBER 2010, DEVOTING HOURS AS NEEDED DURING THE WORKING DAY, PERFORMING DUTIES OF A MEMBER.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-02-22
  • S65 Uniform Investment Adviser Law Examination
    2013-02-22

View on SEC IAPD

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