Santa Barbara Management

RIASEC Registered
Total AUM
$530M
Discretionary
$232M
44% of AUM
Avg account
$2M
Accounts
267
Employees
18
Advisory reps
16

Firm details

Headquarters
Chicago, Illinois
CRD number
334801
Registered since
March 17, 2025
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Fixed Fees, Other
Client types
  • HNWI98.47%
  • Corporations / Businesses1.53%
Services
Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers

Firm profile

FINTRX

Overview

Santa Barbara Management is an independent registered investment adviser organized as an LLC and identified as a capital allocator serving both individual/family and institutional clients. Its SEC registration is listed as 2025. The firm provides financial planning, portfolio management for individuals and small businesses, and the selection of other advisers; it charges fees on a percentage-of-AUM basis as well as fixed and other fee arrangements. The snapshot flags the firm as not an active ESG investor and not a multi-state adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 91%, State & Local Bonds 6%, Cash & Cash Equivalents 2%, US Government Bonds 1%, Public Funds/Mutual Funds 1%91%
  • Exchange Traded Equities91%
  • State & Local Bonds6%
  • Cash & Cash Equivalents2%
  • US Government Bonds1%
  • Public Funds/Mutual Funds1%

Owners & executives

3 of 9
  • Kristen Dealy

    Kristen Dealy

    Family CFOCRD 6325076

  • Brett Pohl

    Chief Compliance OfficerCRD 5896497

  • Kinshuk Rajan

    Kinshuk Rajan

    Chief Operating OfficerCRD 6786467

Unlock 6 more executives →

Contacts

3 of 7
  • Jack Cagigal

    Jack Cagigal

    Family Office AssociateCRD 7751874

  • Elizabeth Reff

    Senior Family Office AssociateCRD 7831863

  • Pavani Pennathur

    Pavani Pennathur

    Family Office AnalystCRD 8034378

Unlock 4 more contacts →

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Chicago, IL

Cook

Location

Chicago, IL

Headquartered in Chicago, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
Cook
Address
222 N La Salle St
Time zone
CT (UTC-6)
Office locations

Similar firms

XXI Wealth, LLC

RIA

Chicago, IL

AUM $532MTEAM 5REPS 4

Cura Wealth Advisors, LLC

RIA

Chicago, IL

AUM $528MTEAM 3REPS 2

CMT Asset Management LLC

RIA

Chicago, IL

AUM $533MTEAM 27REPS 3

5th Century Partners

RIA

Chicago, IL

AUM $521MTEAM 14REPS 3

Fountainhead Financial, LLC

RIA

Chicago, IL

AUM $543MTEAM 3REPS 2

CRG Fund Manager, LLC

RIA

Chicago, IL

AUM $517MTEAM 3REPS 5
More RIAs in Chicago →All Illinois RIAs →