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.
SEC-registered adviser
Santa Barbara Management
Legal name Santa Barbara Mgmt, LLC
Latest filing Sep 9, 2026
First filing on the tape Mar 31, 2025 · 9 filings
SEC status approved since Mar 17, 2025
RAUM
$530M
reported, Item 5.F
Discretionary
44%
of RAUM
Private clients
98%
$522M individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$35.3M
derived; firm RAUM over IAPD count
Employees
18
17 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$530M as of Aug 24, 2026
Mar 31, 2025$0 then
HNW client RAUM$522M as of Aug 24, 2026
Jul 11, 2025$259M then
State-registered IARs (5.B.3)6 as of Aug 24, 2026
Mar 31, 20250 then
Employees (5.A)18 as of Aug 24, 2026
Mar 31, 20253 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 6offices 0 to 1
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $35.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $65.3MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 44%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 7.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $522M, 7 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$522M98%
- Corporations and businesses$8.1M1.5%
- Individual clients
- n/areported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 267reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $522M for 7 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kinshuk Dey Rajan | Chicago, Il | Mar 21, 2025 | 10 y | 0 |
| Robert Donald Casey III | Chicago, Il | Mar 31, 2025 | 11 y | 0 |
| Elizabeth Clark Francis | Chicago, Il | Apr 28, 2025 | 10 y | 0 |
| Elizabeth Goodfellow | Chicago, Il | Jan 2, 2026 | 10 y | 0 |
| Paul Mark Clancy | Chicago, Il | Feb 27, 2026 | 11 y | 0 |
| Jacob Martin Mayer | Chicago, Il | Mar 3, 2026 | 10 y | 0 |
| Jack N CagigalCertified Financial Planner | Chicago, Il | Mar 27, 2026 | 11 y | 1 |
| Gustav Magnus Nicholas Vik | Montecito, Ca | Mar 31, 2026 | 10 y | 1 |
| Elizabeth Anne Reff | Chicago, Il | May 6, 2026 | 10 y | 0 |
| Kristen Elizabeth DealyCertified Financial Planner | Chicago, Il | May 28, 2026 | 12 y | 3 |
| Anthony George Berti | Montecito, Ca | Jun 1, 2026 | 10 y | 0 |
| Carly Rose Glasnow | Montecito, Ca | Jun 30, 2026 | 10 y | 0 |
| George M Joyaux | Chicago, Il | Aug 7, 2026 | 12 y | 1 |
| Pavani M Pennathur | Chicago, Il | Aug 27, 2026 | 10 y | 1 |
| Jonathan Fischer | Parker, Co | Sep 9, 2026 | 10 y | 1 |
Advisor movement
0 left, 6 joined in 12 months
net +6 in 12 months0 left in 90 days3 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Jonathan Fischer from Iconiq Capital, LLCSep 9, 2026 · RIA to RIA
- Pavani M Pennathur from Plante Moran Financial AdvisorsAug 27, 2026 · RIA to RIA
- George M Joyaux from The Mather Group, LLCAug 7, 2026 · RIA to RIA
- Kristen Elizabeth Dealy from LPL Financial LLCMay 28, 2026 · Affiliated broker-dealer or bank to independent RIA
- Gustav Magnus Nicholas Vik from Iconiq Capital, LLCMar 31, 2026 · Other
- Jack N Cagigal from Morgan StanleyMar 27, 2026 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Donald Robert Casey III · Ceocontrolsince 12/2024 · owns less than 5%
- Clark Elizabeth Francis · Chief Client Officercontrolsince 02/2026 · owns less than 5%
- Dey Kinshuk Rajan · Chief Investment Officer Financecontrolsince 12/2024 · owns less than 5%
- Magnus Nicholas Gustav Vik · Chief Operating Officercontrolsince 03/2026 · owns less than 5%
Entity owners
- Robert D. Casey Descendants · Ownerdirect · owns less than 5%
- Santa Barbara Management · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 15 | 12 | 0 | ||
| Montecito, Ca | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Aug 24, 2026 to Sep 9, 2026
- Related adviser · false to unsetAug 24, 2026 to Sep 9, 2026
- Related bank · false to unsetAug 24, 2026 to Sep 9, 2026
- Related broker-dealer · false to unsetAug 24, 2026 to Sep 9, 2026
- Related insurance company · false to unsetAug 24, 2026 to Sep 9, 2026
- Succession · false to unsetAug 24, 2026 to Sep 9, 2026
- Accounts · 154 to 267Jan 20, 2026 to Mar 27, 2026
- Advisory employees · 6 to 17Jan 20, 2026 to Mar 27, 2026
- Corporate clients · unset to 1.0Jan 20, 2026 to Mar 27, 2026
- HNW clients · 5 to 8Jan 20, 2026 to Mar 27, 2026
- Assets in custody · $27.8M to $522MJan 20, 2026 to Mar 27, 2026
- Employees · 7 to 18Jan 20, 2026 to Mar 27, 2026
- State-registered IARs · 0 to 6Jan 20, 2026 to Mar 27, 2026
- Discretionary RAUM · $241M to $232MJan 20, 2026 to Mar 27, 2026
- HNW RAUM · $259M to $522MJan 20, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $18.5M to $299MJan 20, 2026 to Mar 27, 2026
- RAUM · $259M to $530MJan 20, 2026 to Mar 27, 2026
- Financial planning clients · 0 to 0Aug 25, 2025 to Sep 15, 2025
- Other offices · 0 to 1Jul 11, 2025 to Aug 25, 2025
- Accounts · 0 to 154Mar 31, 2025 to Jul 11, 2025
- Advisory employees · 2 to 6Mar 31, 2025 to Jul 11, 2025
- Advisory activities · 2 to 3Mar 31, 2025 to Jul 11, 2025
- HNW clients · unset to 5.0Mar 31, 2025 to Jul 11, 2025
- Assets in custody · $0 to $27.8MMar 31, 2025 to Jul 11, 2025
- Custody of client assets · false to trueMar 31, 2025 to Jul 11, 2025
- Employees · 3 to 7Mar 31, 2025 to Jul 11, 2025
- Discretionary RAUM · $0 to $241MMar 31, 2025 to Jul 11, 2025
- HNW RAUM · unset to 259160014.0Mar 31, 2025 to Jul 11, 2025
- Non-discretionary RAUM · $0 to $18.5MMar 31, 2025 to Jul 11, 2025
- RAUM · $0 to $259MMar 31, 2025 to Jul 11, 2025
Signals
1 dated events
- Santa Barbara Management reported RAUM $530.2M, up 105% from $259.2M (2026-01-20 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 312-923-7845reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/santa-barbara-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- santabarbaramanagement.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 734-604-9891reportedpublic record, Form ADV, Sep 9, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $35.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026