Santa Fe Advisors LLC (“SFA”) is registered with the Securities and Exchange Commission as an investment advisor. Investment advisory and brokerage fees differ, and it is important that you understand the differences. Free and simple tools to research firms and financial professionals are available at Investor.gov/CRS. This website also provides educational materials about investment advisors, broker-dealers, and investing.
What investment services and advice can you provide me?
We offer investment advisory services to retail investors including financial planning and the investment management of client accounts. The financial planning process starts with a discussion about a client’s objectives, time horizon, risk tolerance, and personal financial and family information. We then prepare recommendations for the client. The client is free to accept or reject any recommendation. A client’s financial plan is reviewed and adjusted as needed. Planning services are available to clients as part of all investment management engagements. Our investment management services are usually provided on a discretionary basis. All client portfolios are governed by an investment policy statement (“IPS”) which outlines risk tolerance, asset allocation parameters, time horizon, distribution needs and other restrictions. The IPS is the guideline that we use in order to manage clients’ accounts.
The complete Part 3 form is available to download at left.