81
New Mexico state IA firms
81 StateRgstn rows report APPROVED under regulator code NM. Rows equal distinct firm CRDs. This is jurisdiction code NM, not a New Mexico-address overlay.
InvestorTrustHub · New Mexico
New Mexico investment adviser and securities research
The New Mexico Regulation and Licensing Department, Securities Division regulates securities activity under New Mexico law. The IAPD compilation separates state registration, federal notice filings, and exempt reporting advisers by regulator jurisdiction code NM. A source-reported filing is not an endorsement or a recommendation.
Separate IAPD firm populations
These distinct firm CRDs come from the September 17, 2026 state and SEC IAPD compilation feeds. Regulator jurisdiction fields selected the populations; New Mexico principal-office geography was not used. Credential groups overlap and must not be added into one New Mexico adviser total.
1,394
Federal adviser New Mexico notice filings
1,394 NoticeFiled rows report FILED under regulator code NM. Source firm type is Registered. ERA notice rows for NM: 0. A notice filing is separate from New Mexico state IA registration.
17
New Mexico ERA firms
17 ERA/Rgltr code NM rows report ACTIVE. An exempt reporting adviser is not a state registered IA or an SEC registered adviser.
27
New Mexico principal-office firms
MainAddr state NM in the SEC compilation. This is office geography only, not New Mexico registration or notice filing.
Exact firm CRD overlap: 2 firm CRDs are in both sets. Both observations stay. This page does not subtract that overlap from either count and does not create a second canonical firm. State IA and ERA sets have 0 exact CRD overlap; ERA and notice sets have 0.
Other New Mexico regulatory records
New Mexico IAR person rosters, broker-dealer firms, and agents are NOT_ACQUIRED. Examinations are NOT_ACQUIRED. Enforcement orders are NOT_ACQUIRED. A person is not a firm. FINRA BrokerCheck and IAPD support named-record research. Name-only adverse joins: 0. Exact canonical attachments: 0. A complaint is not a violation finding.
Sources and clocks
IAPD state compilation and SEC IAPD compilation, both source dated 2026-09-17; retained files examined 2026-10-06. State feed SHA-256: 5fa17c38ae2e812dbd4d58c359c4d624a54417e3f794a3287c3414ccfdaa6a02. SEC feed SHA-256: f01d6b17a7ed631125e76d3c1e5965f178235273eea6699c15400473cb2f1f22. Registration evidence is IAPD jurisdiction code NM. This is compilation evidence, not a live license check.
Existing canonical firm matches were not re-read from production. New entities: 0. Evidence attachments: 0. Graph writes: 0. Albuquerque, Santa Fe, Las Cruces, Rio Rancho, Roswell, and Farmington are geography only. No city or county pages, rankings, ratings, or adviser recommendations are published.