Santa Barbara Mgmt, Llc
- Regulatory AUM
- $530M
- Discretionary
- $232M
- Clients
- 9
- Avg AUM / client
- $58.9M
- Accounts
- 267
- Employees
- 18
AUM over time
Annual snapshots from Form ADV filings · as of Jun 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 8 | $522M | 98.5% |
| Corporations and other businesses | 1 | $8.1M | 1.53% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Pavers & Road Builders Dc Annuity Fund Pavers & Road Builders Dc Annuity Fund | 2024 | |
| Pavers & Road Builders Dc Pension Fund Pavers & Road Builders Dc Pension | 2024 |
People (13)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kinshuk Dey Rajan | Registered representative | Mar 2025 (1y) | ||
| Robert Donald Casey Iii | Registered representative | Mar 2025 (1y) | ||
| Elizabeth Clark Francis | Registered representative | Apr 2025 (1y) | ||
| Elizabeth Goodfellow | Registered representative | Jan 2026 (1y) | ||
| Peter Julius Fallon | Registered representative | Jan 2026 (1y) | ||
| Paul Mark Clancy | Registered representative | Feb 2026 (0y) | ||
| Jacob Martin Mayer | Registered representative | Mar 2026 (0y) | ||
| Jack N Cagigal | Registered representative | CFP | Mar 2026 (0y) | |
| Gustav Magnus Nicholas Vik | Registered representative | Mar 2026 (0y) | ||
| Elizabeth Anne Reff | Registered representative | May 2026 (0y) | ||
| Kristen Elizabeth Dealy | Registered representative | CFP | May 2026 (0y) | |
| Anthony George Berti | Registered representative | Jun 2026 (0y) | ||
| Carly Rose Glasnow | Registered representative | Jun 2026 (0y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Pavers & Road Builders Dc Annuity Fund | Pavers & Road Builders Dc Annuity Fund | 3,024 | $343M | 01/01/2024 |
| Pavers & Road Builders Dc Pension Fund | Pavers & Road Builders Dc Pension | 2,120 | $776M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/01/2026 | 983 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Other fees
- • ASSETS UNDER ADVISEMENT
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $530M (100% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 01, 2026.
View current Form ADV (SEC/IAPD) ↗