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Emily Mora

Advisor at RFG Advisory, LLC — Santa Fe, NM

Updated today

Credentials

Series 66

Experience

3 years

Location

Santa Fe, NM

RFG Advisory, LLC logo

RFG Advisory, LLC

Multi-team

Total advisors

191

Across 86 offices

Clients per advisor

90 High

Avg AUM per client

$295,694 Very Low

HNW client ratio

7% Low

About

Emily Mora is a Series 66-credentialed advisor with RFG Advisory, LLC, based in Santa Fe, NM, and has three years of industry experience. She has worked in private client services and real estate with Keller Williams, and holds ownership roles in several creative businesses including EM Tippetts Book Designs, WorkHorse Productions, and Emily Mah Designs. Mora also serves as Editorial Director for the Science Fiction and Fantasy Writers Association. RFG Advisory provides investment advisory and planning services to a diverse client base including individuals, high-net-worth investors, retirement plans, and institutional clients such as investment companies and government entities. The firm’s approach emphasizes discretionary portfolio management and utilizes a range of model strategies, third-party platforms, and alternative investments, while also serving as an ERISA fiduciary for retirement-related accounts.

Client services

Based on RFG Advisory, LLC

Financial planning Portfolio management Pension consulting Selection of other advisers Educational seminars or workshops

Expertise

Based on RFG Advisory, LLC

Options & derivatives strategies Private / alternative investments Tax-loss harvesting

Occupation focus

Based on RFG Advisory, LLC

Founder/Business Owner Executive Retired

Demographic focus

Based on RFG Advisory, LLC

Women Professionals Mid-Career Professionals

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Fee options

Fixed

Flat fees for financial planning and consulting services up to $50,000 negotiated per engagement

Percentage

$0+: up to 2.35% annually (varies by Financial Advisor; schedules are flat, linear, or tiered; negotiated individually) $0+: up to 0.50% RFG annual platform fee (included in total advisory fee) $0+: 0% to 1.00% strategist fee by manager (if applicable) $0+: Sub-adviser fee for Bluemonte Funds: 0.15% annually $0+: Retirement Plan Consulting fees not exceeding 1.00% of plan assets under management, negotiated case-by-case $0+: Annuity management fees up to 1.15% annually (billed quarterly advance) $0+: SMArtX accounts under $10,000 incur additional $10/month platform fee

Commissions

Some Financial Advisors are also registered representatives and receive commissions for sale of securities and insurance products; RFG receives portion for administrative support

Project-based

Hourly charges are possible for consulting but specific rates not disclosed

Other

Minimum fee: $12.50 non-refundable quarterly Account Service Fee deducted from Client accounts held at Fidelity, Pershing and Schwab; $10 per month platform fee for accounts under $10,000 under SMArtX platform Fee-only: Flat fees up to $50,000 for financial planning and consulting services, negotiated between Financial Advisor and Client

Location

See office

Santa Fe, NM

Santa Fe NM

Advisors at this office

1

Most active in

Alabama · New Mexico · Texas

Work history

3 years of industry experience

Private Client Services

2023 - Present • 3 years

Birmingham, AL

Keller Williams

2022 - Present • 4 years

Santa Fe, NM

RFG Advisory

2022 - Present • 4 years

Santa Fe, NM

Science Fiction and Fantasy Writers Association

2022 - Present • 4 years

Hayward, CA

E.M. Tippetts Book Designs, LLC

2013 - Present • 13 years

Santa Fe, NM

WorkHorse Productions, Inc.

2013 - Present • 13 years

Santa Fe, NM

Emily Mah Designs

2013 - Present • 13 years

Santa Fe, NM

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Peter Bo R

CFP®, Series 65, EA

Santa Fe, NM

Counterpoint

Peter Rappmund is a CFP® practitioner, a fiduciary, and Enrolled Agent. He is currently the principal at Counter. LLC d/b/a Counterpoint in Santa Fe, NM, and has prior experience at Voya Retirement Advisors, Voya Financial Advisors, MissionSquare Retirement (ICMA-RC), and Better Money Decisions. Counterpoint provides discretionary investment management and comprehensive wealth management services to individual and high-net-worth clients, offering retirement account advice and portfolio construction using ETFs, low-cost mutual funds, individual securities, and alternative investments. The firm employs a primarily long-term investment approach that includes fundamental, technical, and cyclical analysis and supervises third-party managers without receiving compensation from them.

ESG / Sustainable investing Private / alternative investments General retirement planning Student loan debt General tax planning Artists or Creative Self-Employed Entertainment Industry Government Employee HENRY (High Earners, Not Rich Yet) Career Changers Approaching retirement Gen X (Born 1965-1980) Values-based investing
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Thomas S

CFP®

Santa Fe, NM

T.C. Schwab Financial Planning, LLC

Thomas Schwab is a CFP® professional with 18 years of industry experience. He has operated T.C. Schwab Financial Planning, LLC since 2007 as a solo practitioner based in Santa Fe, NM. T.C. Schwab Financial Planning, LLC offers hourly, fee-only financial planning and investment advice to individuals, families, trusts, estates, and small businesses. The firm emphasizes long-term asset allocation, global diversification, and low-cost funds, providing strategies for self-directed clients or those working with third-party money managers without managing assets directly.

Cash flow / budgeting Debt management College savings (529s, UTMA, etc.) General estate planning guidance Long-term care insurance
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Michael G

Series 66

Santa Fe, NM

Aquarius Financial

Michael Grodsky is the sole advisor at Aquarius Financial in Santa Fe, NM, holding a Series 66 designation with 18 years of industry experience. He has led Aquarius Financial since 2011 and also operates an independent insurance brokerage, Aquarius Insurance Services, dedicating a significant portion of his time to insurance activities. Additionally, he holds a limited partnership interest in Kaleidospace, LLC, which promotes independent musicians, artists, and game developers. Aquarius Financial is an independent, fee-only advisory firm serving individual and family clients with a fundamental, long-term investment approach focused on asset allocation and diversification. The firm provides non-discretionary advice and uses third-party platforms and custodians for execution and reporting.

Wealth management
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Keith A

Series 63, Series 65

Santa Fe, NM

Keith Kelvin Anderson

Keith Anderson is the sole advisor at Keith Kelvin Anderson, an independent firm based in Santa Fe, NM. He holds Series 63 and Series 65 licenses and has eight years of industry experience. Anderson has operated his firm since 1999. Keith Kelvin Anderson provides investment advisory and portfolio management services to individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and business entities. The firm manages approximately $55 million on a primarily non-discretionary basis, combining long-term asset allocation with fundamental and technical analysis, and involves clients directly in all investment decisions.

Passive / index investing
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Theodore F

Series 65

Santa Fe, NM

Fish Advisory, LLC

Theodore Fish is the principal of Fish Advisory, LLC, an independent firm based in Santa Fe, NM. He holds a Series 65 designation and has five years of experience in financial advising. Prior to founding Fish Advisory, he has operated Fish Leadership Consulting, LLC since 2003, providing leadership, strategic, and program development consulting services. He also serves as president of the nonprofit Link Hands for Humanity, which supports programs in ecology, medicine, and education. Fish Advisory provides discretionary portfolio management primarily to individual and high-net-worth clients, with an investment approach that includes fundamental analysis, long- and short-term purchases, and option-writing strategies. The firm operates as a small, solo advisory practice and is noted for engaging with at least one charitable organization, reflecting the principal’s involvement beyond typical advisory services.

Options & derivatives strategies Real estate investing Active portfolio management
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Edmond H

Series 65

Santa Fe, NM

Eddie Haggar Capital Mgt, Inc.

Edmond Haggar Jr. is the principal advisor at Eddie Haggar Capital Management in Santa Fe, NM. Holding a Series 65 designation, he has 21 years of industry experience and has led his firm since 1998. Eddie Haggar Capital Management provides discretionary, fee-based portfolio management to individuals, high-net-worth clients, foundations, trusts, and endowments. The firm manages approximately $15 million in assets with a focus on concentrated, all-long equity portfolios combined with option-selling strategies and may include fixed income and alternative investments up to 40% of assets under management.

Concentrated stock management Options & derivatives strategies Private / alternative investments
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