DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Santa Barbara Asset Management, LLC

Former SEC-registered adviserLos Angeles, CaliforniaCRD 138123SEC 801-65003IAPD
Latest filing Sep 14, 2021
First filing on the tape Mar 28, 2012 · 27 filings
RAUM
$7.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
13%
$978M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$7.5B as of Mar 31, 2021
Mar 28, 2012$2.6B then
HNW client RAUM$268M as of Mar 31, 2021
Mar 29, 2018$228M then
State-registered IARs (5.B.3)5 as of Mar 31, 2021
Mar 7, 201312 then
Employees (5.A)12 as of Mar 31, 2021
Mar 7, 201316 then
Private funds: no history
RAUM +60% over the last fiscal year+14% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Sep 14, 2021; every figure names its basis
RAUM per advisor
$1.5BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
559derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$2.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.4derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+60%derivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.4%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$6.3B84%
  • Individuals$709M9.4%
  • High-net-worth individuals$268M3.6%
  • Pooled investment vehicles$128M1.7%
  • Corporations and businesses$88.7M1.2%
  • Charitable organizations$24.8M0.3%
  • Pension and profit-sharing plans$19.3M0.3%
Individual clients
2,648reported
HNW clients
148reported
Pension plan clients
21reported
Charitable clients
24reported
Accounts
2,949reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $1.1B managedreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Allen David Chalupnik · Co-Head Of Santa Barbara Asset Management, Portfolio Managercontrol
      since 01/2020 · owns less than 5%
    • C. Mary Ann Iudice · Managing Director, Chief Compliance Officercontrol
      since 07/2016 · owns less than 5%
    • Mark Avi Mizrachi · Senior Managing Director, General Counselcontrol
      since 07/2016 · owns less than 5%
    • Sung Min David Park · Co-Head Of Santa Barbara Asset Management, Portfolio Manager & Director Of Researchcontrol
      since 01/2020 · owns less than 5%
    Entity owners
    • Nuveen Investments, Inc. · Managing Member
      direct · owns 75% or more
    • Nuveen Finance, LLC · Shareholder
      indirect · owns 75% or more of Nuveen Holdings 1, Inc.
    • Nuveen Holdings 1, Inc. · Shareholder
      indirect · owns 75% or more of Nuveen Holdings, Inc.
    • Nuveen Holdings, Inc. · Shareholder
      indirect · owns 75% or more of Nuveen Investments, Inc.
    • Nuveen, LLC · Member
      indirect · owns 75% or more of Nuveen Finance, LLC
    • Teachers Insurance And Annuity Association Of America · Member
      indirect · owns 75% or more of Nuveen, LLC
    • Tiaa Board Of Overseers · Shareholder
      indirect · owns 75% or more of Teachers Insurance And Annuity Association Of America
    Related persons
    Schedule D 7.A
    Advisers that list Santa Barbara Asset Management, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Minneapolis, MN2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 2,799 to 2,949
      Jun 17, 2020 to Mar 31, 2021
    • Advisory employees · 7 to 9
      Jun 17, 2020 to Mar 31, 2021
    • BD registered reps · 4 to 3
      Jun 17, 2020 to Mar 31, 2021
    • Charity clients · 26 to 24
      Jun 17, 2020 to Mar 31, 2021
    • Corporate clients · 112 to 103
      Jun 17, 2020 to Mar 31, 2021
    • HNW clients · 138 to 148
      Jun 17, 2020 to Mar 31, 2021
    • Individual clients · 2,491 to 2,648
      Jun 17, 2020 to Mar 31, 2021
    • Pension plan clients · 27 to 21
      Jun 17, 2020 to Mar 31, 2021
    • Employees · 23 to 12
      Jun 17, 2020 to Mar 31, 2021
    • State-registered IARs · 6 to 5
      Jun 17, 2020 to Mar 31, 2021
    • Discretionary RAUM · $4.7B to $7.5B
      Jun 17, 2020 to Mar 31, 2021
    • HNW RAUM · $256M to $268M
      Jun 17, 2020 to Mar 31, 2021
    • Individual RAUM · $659M to $709M
      Jun 17, 2020 to Mar 31, 2021
    • Pension RAUM · $50.9M to $19.3M
      Jun 17, 2020 to Mar 31, 2021
    • Pooled vehicle RAUM · $136M to $128M
      Jun 17, 2020 to Mar 31, 2021
    • RAUM · $4.7B to $7.5B
      Jun 17, 2020 to Mar 31, 2021
    • Wrap assets (manager) · $1.0B to $1.1B
      Jun 17, 2020 to Mar 31, 2021
    • Accounts · 5,014 to 2,799
      Jul 23, 2019 to Mar 30, 2020
    • Charity clients · 37 to 26
      Jul 23, 2019 to Mar 30, 2020
    • Corporate clients · 156 to 112
      Jul 23, 2019 to Mar 30, 2020
    • HNW clients · 110 to 138
      Jul 23, 2019 to Mar 30, 2020
    • Individual clients · 4,674 to 2,491
      Jul 23, 2019 to Mar 30, 2020
    • Pension plan clients · 29 to 27
      Jul 23, 2019 to Mar 30, 2020
    • Employees · 15 to 23
      Jul 23, 2019 to Mar 30, 2020
    • Discretionary RAUM · $4.7B to $4.7B
      Jul 23, 2019 to Mar 30, 2020
    • HNW RAUM · $193M to $256M
      Jul 23, 2019 to Mar 30, 2020
    • Individual RAUM · $998M to $659M
      Jul 23, 2019 to Mar 30, 2020
    • Pension RAUM · $49.0M to $50.9M
      Jul 23, 2019 to Mar 30, 2020
    • Pooled vehicle RAUM · $118M to $136M
      Jul 23, 2019 to Mar 30, 2020
    • RAUM · $4.7B to $4.7B
      Jul 23, 2019 to Mar 30, 2020
    • Wrap assets (manager) · $1.3B to $1.0B
      Jul 23, 2019 to Mar 30, 2020
    • State-registered IARs · 8 to 6
      Mar 29, 2019 to Jun 13, 2019
    • Other offices · 0 to 1
      Mar 29, 2019 to Jun 13, 2019
    • Accounts · 4,658 to 5,014
      Apr 24, 2018 to Mar 29, 2019
    • BD registered reps · 6 to 4
      Apr 24, 2018 to Mar 29, 2019
    • Charity clients · 40 to 37
      Apr 24, 2018 to Mar 29, 2019
    • Corporate clients · 173 to 156
      Apr 24, 2018 to Mar 29, 2019
    • HNW clients · 126 to 110
      Apr 24, 2018 to Mar 29, 2019
    • Individual clients · 4,273 to 4,674
      Apr 24, 2018 to Mar 29, 2019
    • Pension plan clients · 35 to 29
      Apr 24, 2018 to Mar 29, 2019
    Signals
    4 dated events
    • Santa Barbara Asset Management, Llc reported RAUM $7.5B, up 60% from $4.7B (2020-06-17 to 2021-03-31)
      Mar 31, 2021 · RAUM change · derived
    • Ralph James Boothe (Chief Investment Officer, Portfolio Manager) no longer on Schedule A of Santa Barbara Asset Management, Llc (listed 2019-03-29, absent 2019-06-13)
      Jun 13, 2019 · Control person left · inference
    • Sung Min David Park (Managing Director, Portfolio Manager, Director Of Research) appeared on Schedule A of Santa Barbara Asset Management, Llc
      Jun 13, 2019 · Control person joined · fact
    • Allen David Chalupnik (Senior Managing Director, Portfolio Manager) appeared on Schedule A of Santa Barbara Asset Management, Llc
      Jun 13, 2019 · Control person joined · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026