Sun Mountain Capital Advisors, LLC (Santa Fe)

Name: Sun Mountain Capital Advisors, LLC
Address: 527 Don Gaspar Avenue, Santa Fe, NM, 87505
Telephone: 505-780-4218

Sun Mountain Capital Advisors, LLC is a large advisory firm based in Santa Fe. It manages $943.4 million of regulatory assets for 12 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of New Mexico, Washington, and Wisconsin.

Sun Mountain Capital Advisors provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Sun Mountain Capital Advisors: assets under management

The assets under management (AUM) of Sun Mountain Capital Advisors, LLC is $943.4 million. The firm's AUM has grown by 141% since the beginning of its operation, and $267.19 million of the total AUM is attributable to clients outside of the United States.

The firm manages $698.04 million in discretionary accounts and $245.36 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $69.8 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $122.68 million.

Investments

The firm invests in other assets the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sun Mountain Capital Advisors, LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Sun Mountain Capital Advisors serves?

The firm provides services to pooled investment vehicles and state or municipal government entities. The largest group of clients of Sun Mountain Capital Advisors is pooled investment vehicles with 10 clients and $698.04 million of assets under management. Among the 9 most similar advisory firms, Sun Mountain Capital Advisors has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $943.4 million for 12 clients. 50% of the firm’s clients are foreign persons or businesses.

Sun Mountain Capital Advisors also advises several private funds. Namely, one other private fund, five private equity funds, and four venture capital funds. The minimum investment commitment required of non-related persons ranges from $0 to $500,000.

Careers at Sun Mountain Capital Advisors, LLC

The company employs 11 people that are either part- or full-time employees. 73 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Brian Peter Birk	Managing member	1 Dec 2006	50% - 75%	5857146
Lee Michael Rand	Member	1 Jan 2009	25% - 50%	5857152
Leslie Rae Shaw	Chief compliance officer	1 Apr 2011	Other	5857159
Edward Samuel Markman	Chief financial officer	1 Sep 2014	Other	6471147
Edward Samuel Markman	Chief financial officer / chief compliance officer	1 Aug 2016	Other	6471147

Based in Santa Fe

The principal office where Sun Mountain Capital Advisors, LLC performs its advisory services is located at 527 Don Gaspar Avenue, Santa Fe, NM 87505, which is also the mailing address of the firm. An additional office of the firm is in Madison, WI. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 505-780-4218 or by fax 505-780-4219. The normal business hours are 8 am- 5 pm on Monday - Friday. You can find more information about the New York firm at sunmountaincapital.com.