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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

SANTA BARBARA ALPHA STRATEGIES

CRD 113202

SANTA BARBARA, CA

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Search this name across graphsid dfx:ria:35551e33-55bf-56e7-80e2-62e963bce2e3

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2012
1 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.3MItem 5.F on the latest filing (2012-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 2
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $1.3Mgross asset value as reported per fund; never fund size
Custody, client assets: $1.3M
SEC number: 801-60363
CRD: 113202
Filings on the tape: 1
First filed: Mar 30, 2012
Latest filed: Mar 30, 2012
Organised: Corporation, California

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
SANTA BARBARA MARKET NEUTRAL FUND (BAHAMAS) LTD	Other Private Fund	$958,595	Mar 30, 2012	38	Mar 30, 2012	reported	021-56191
SANTA BARBARA MARKET NEUTRAL INSTITUTIONAL FUND LP	Other Private Fund	$389,885	Mar 30, 2012	32	Mar 30, 2012	reported	021-71121

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
MCCORMACK, TIMOTHY, PATRICK	CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, CHAIRMAN OF THE BOARD, SOLE SHAREHOLDER, CIO	E	yes	08/1997	Mar 30, 2012	Mar 30, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ALPHA TITANS LLC	n/a	Former SEC adviser	$16.3M	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$1.3M	$1.3M	n/a	n/a	n/a	2	$1.3M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$1.3M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (2)

← ALPHA TITANS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ ALPHA TITANS LLCRegistered adviserother investment adviser, common control
factForm ADV

Advises (2)

→ SANTA BARBARA MARKET NEUTRAL FUND (BAHAMAS) LTDPrivate fundOther Private Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ SANTA BARBARA MARKET NEUTRAL INSTITUTIONAL FUND LPPrivate fundOther Private Fund, IA
Mar 30, 2012 to presentfactForm ADV

Controls (1)

← MCCORMACK, TIMOTHY, PATRICKOwnerCHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, CHAIRMAN OF THE BOARD, SOLE SHAREHOLDER, CIO, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:35551e33-55bf-56e7-80e2-62e963bce2e3
First observed: Mar 30, 2012
Last observed: Mar 30, 2012 176 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SANTA BARBARA ALPHA STRATEGIES

CRD 113202

SANTA BARBARA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:35551e33-55bf-56e7-80e2-62e963bce2e3

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:08 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

SANTA BARBARA MARKET NEUTRAL FUND (BAHAMAS) LTD

Other Private Fund

$958,595

Mar 30, 2012

reported

021-56191

SANTA BARBARA MARKET NEUTRAL INSTITUTIONAL FUND LP

Other Private Fund

$389,885

Mar 30, 2012

reported

021-71121

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MCCORMACK, TIMOTHY, PATRICK

CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, CHAIRMAN OF THE BOARD, SOLE SHAREHOLDER, CIO

yes

08/1997

Mar 30, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ALPHA TITANS LLC

n/a

Former SEC adviser

$16.3M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

$1.3M

n/a

$1.3M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$1.3M

n/a