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527 Don Gaspar Avenue, Santa Fe, NM 87505 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2013-02-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sun Mountain Capital | Santa Fe | NM | 09/2006 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-02-22 |
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