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SANTA BARBARA MANAGEMENT

CHICAGO, IL · CRD 334801 · IAPD ↗ · 734-604-9891

$530.2MRegulatory AUM
17Advisory reps
18Employees
0Clients
0Planning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
October 2026 — SANTA BARBARA MANAGEMENT notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2026 — SANTA BARBARA MANAGEMENT crossed $500M in regulatory AUM ($259.2M -> $530.2M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
79
April 2026 — SANTA BARBARA MANAGEMENT grew from 6 to 17 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
45
February 2026 — SANTA BARBARA MANAGEMENT notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
December 2025 — SANTA BARBARA MANAGEMENT added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
68
August 2025 — SANTA BARBARA MANAGEMENT now reports custody of client assets ($27.8M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
72
August 2025 — SANTA BARBARA MANAGEMENT grew from 2 to 6 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
95
April 2025 — SANTA BARBARA MANAGEMENT (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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