Form ADV Part 3 – Client Relationship Summary


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 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 ADV Part 3 form is available for download on the left side of the page.

Disclosure: All written content on this site is for information purposes only. The material presented is believed to be from reliable sources; however, we make no representations as to its accuracy or completeness. All information should be discussed in detail with your individual relationship manager prior to implementation. Santa Fe Advisors, LLC may transact business only in states in which it is registered, or in which it is excluded from registration. Santa Fe Advisors, LLC is currently registered as an investment advisor with the Securities and Exchange Commission. A copy of our current written disclosure statement discussing business operations, services, and fees is available upon written request or at Investment Adviser Public Disclosure.