← Tributary

PACIFIC CAPITAL

CORONA, CA · CRD 159294 · IAPD ↗ · 844-777-8777

$820.6MRegulatory AUM
6Advisory reps
9Employees
5Clients
251-500Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

61
April 2026 — PACIFIC CAPITAL reports 251-500 financial-planning clients, up from 101-250.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
January 2026 — PACIFIC CAPITAL now reports custody of client assets ($292.6M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
April 2025 — PACIFIC CAPITAL reports 101-250 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
45
October 2024 — PACIFIC CAPITAL notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
October 2024 — PACIFIC CAPITAL reported RAUM up 26% ($525.9M -> $661.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
47
May 2024 — PACIFIC CAPITAL notice-filed in AZ, FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.