AdvisorCensus / Financial advisors / New Mexico / Santa Fe / New Line Capital, LLC
New Line Capital, LLC
Filed as NEW LINE CAPITAL, LLC
New Line Capital, LLC is a state-registered investment advisory firm in Santa Fe, NM, registered since 2014, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 13, 2026.
Quick answers
From the filingHow is New Line Capital, LLC compensated?
On its Form ADV (Item 5.E, October 2026), New Line Capital, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees; other. The amounts are in Item 5 of its Form ADV Part 2A brochure.
Where is New Line Capital, LLC located?
New Line Capital, LLC's principal office is in Santa Fe, NM, according to its Form ADV.
Is New Line Capital, LLC registered with the SEC or a state?
New Line Capital, LLC is a state-registered investment advisory firm, registered since 2014. Status as filed: APPROVED. CRD 143677.
How much does New Line Capital, LLC manage?
New Line Capital, LLC reports $31,617,302 in regulatory assets under management in its Form ADV filing dated March 13, 2026 (68% discretionary).
What types of clients does New Line Capital, LLC serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (17); individuals (other than high net worth individuals) (9); pension and profit sharing plans (but not the plan participants or government pension plans) (3).
Does New Line Capital, LLC report any disciplinary disclosures?
Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/143677
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Performance-based fees
- Other
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Regulatory assets under management
Item 5.F$31,617,302 as of October 2026, filing dated March 13, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
Registration and firm details
Items 1, 2, 5- Registration
- State-registered investment adviser. Status as filed: APPROVED.
- Registered since
- 2014 (12 years)
- Employees
- Total: 3. Performing investment advisory functions: 3.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
4 states or jurisdictions
State-registered investment advisers are examined by their state securities regulator. SEC, state, and exempt registration
Disclosures
Item 114 Reports 4 disclosure items on Form ADV Item 11. View on IAPD.
Questions answered yes on this filing
Regulatory matters Items 11.C to 11.G
- 11.C(1) Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2) Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(5) Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
- 11.E(4) Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?
Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures
Changes in the filing
Last 12 monthsNo changes to these filed facts in the last 12 months of filing data.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.INot reported.
Source: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. New Line Capital, LLC (CRD 143677): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/new-line-capital-llc-santa-fe-nm-143677