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527 Don Gaspar Avenue, Santa Fe, NM 87505 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2011-06-13 |
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, AND LOCATED AT 301 GRIFFIN STREET, SANTA FE, NM 87501,IS THE GENERAL PARTNER OF A POOLED INVESTMENT VEHICLE, OF WHICH I AM A MANAGING MEMBER, STARTING IN JANUARY, 2007, AND I DEVOTE HOURS AS NEEDED THROUGHOUT EACH DAY, PERFORMING THE DUTIES OF A MANAGING MEMBER. IN ADDITION, I AM A DIRECTOR OF NANOMR, INC., AND AN EXECUTIVE OFFICER OF THE BOARD OF DIRECTORS OF NANOMR, INC. WHICH IS A PORTFOLIO COMPANY IN THE POOLED INVESTMENT VEHICLE OF WHICH I AM A MEMBER OF THE GENERAL PARTNER. 2-SUN MOUNTAIN CAPITAL LLC,WHICH IS INVESTMENT RELATED, AND LOCATED AT 301 GRIFFIN STREET, SANTA FE, NM 87501,IS MANAGER OF A POOLED INVESTMENT VEHICLE, OF WHICH I AM A MANAGING MEMBER, STARTING IN SEPTEMBER, 2006, AND I DEVOTE HOURS AS NEEDED THROUGHOUT EACH DAY, PERFORMING THE DUTIES OF A MANAGING MEMBER.3-THORNBURG INVESTMENT TRUST, WHICH IS INVESTMENT RELATED, AND LOCATED AT 2300 N. RIDGETOP ROAD, SANTA FE, NM 87506, STARTING IN MAY 2012, DEVOTING HOURS AS NEEDED AS A TRUSTEE OF THORNBURG INVESTMENT TRUST.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-06-11 |
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