SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Santa Barbara Management
Chicago, IL
Santa Barbara MGMT, LLC, CRD 334801
Firm filing updated September 9, 2026 ·
- $530.2MAssets
- 9Clients
- 17Advisory staff
- 267Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- OtherYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
Who the firm serves
- High net worth individuals8
- Corporations or other businesses1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 8 | $522.1 million |
| Corporations or other businesses not listed above | 1 | $8.1 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$530.2 million
- Accounts267
- Discretionary$231.7 million · 139 accounts
- Non-discretionary$298.5 million · 128 accounts
People
- Employees18
- Advisory staff17
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients0
Advisors
6 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Santa Barbara MGMT, LLC SEC-registered investment advisor. CRD 334801, SEC file 801-132201.
- Registered with the SEC as an investment advisor (status date on record: March 17, 2025).
Is Santa Barbara Management a fiduciary?
Short answer: Santa Barbara Management is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.