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RIA / WealthAdvisorCertified Financial Planner12 years in industry

KRISTEN ELIZABETH DEALY

Advisor at SANTA BARBARA MANAGEMENT

CHICAGO, IL

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Search this name across graphsid dfx:ria:036b64e5-a5e1-9232-cae8-a19b63b4b174

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 20, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SANTA BARBARA MANAGEMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Jun 20, 2014
First registration: Jun 20, 2014
Dual registered: no
IAPD individual key: 6325076

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SANTA BARBARA MANAGEMENT	Independent wealth	May 28, 2026	n/a	yes	CHICAGO, IL	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 24, 2021	Jul 9, 2026	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Feb 12, 2019	Mar 24, 2021	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 20, 2014	Jan 25, 2019	no	CHICAGO, IL\|SOUTH JORDAN, UT\|Chicago, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	SANTA BARBARA MANAGEMENT	Jul 9, 2026	May 28, 2026	-42	Firm change after gap	Ibd to RIA
BMO HARRIS FINANCIAL ADVISORS, INC	LPL FINANCIAL LLC	Mar 24, 2021	Mar 24, 2021	0	Bulk transfer	Ibd to ibd
MORGAN STANLEY	BMO HARRIS FINANCIAL ADVISORS, INC	Jan 25, 2019	Feb 12, 2019	18	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ SANTA BARBARA MANAGEMENTRegistered adviserregistration: current employment
May 28, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Mar 24, 2021 to Jul 9, 2026factForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Feb 12, 2019 to Mar 24, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 20, 2014 to Jan 25, 2019factForm ADV

Dated events

Occurred
Jul 9, 2026
Advisor changed firm
Kristen Elizabeth Dealy left Lpl Financial Llc for Santa Barbara Management (registered 2026-05-28)
Form ADVobserved 4 days ago