Form D · Other Banking and Financial Services
SANTA BARBARA ASSET MANAGEMENT, LLC
Los Angeles, CA · CIK 0001109426
Offering snapshot reported Apr 30, 2021 · SEC filing
- Reported sold
- $0 Indefinite offering
- Investors reported
- Not reported Form D · investor count
- Minimum accepted
- Not reported Reported outside-investor minimum
- First sale
- Not reported As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Apr 30, 2021 | Amendment | $0 | No comparison | Not reported | SEC filing |
| Apr 30, 2020 | Amendment | $0 | $0vs Jun 9, 2017 | 11 | SEC filing |
| Jun 9, 2017 | Amendment | $0 | $0vs Jun 9, 2016 | 26 | SEC filing |
| Jun 9, 2016 | Amendment | $0 | $0vs Mar 11, 2015 | 26 | SEC filing |
| Mar 11, 2015 | Amendment | $0 | $0vs Mar 11, 2014 | 23 | SEC filing |
| Mar 11, 2014 | Amendment | $0 | $0vs Mar 13, 2013 | 19 | SEC filing |
| Mar 13, 2013 | Amendment | $0 | $0vs Mar 16, 2012 | 18 | SEC filing |
| Mar 16, 2012 | Amendment | $0 | $0vs Mar 18, 2011 | 17 | SEC filing |
| Mar 18, 2011 | Initial | $0 | No comparison | 17 | SEC filing |
Offering details
- Securities
- Not reported
- Exemptions
- Not reported
- Duration over one year
- Not reported
- Business combination
- Not reported
- Sales commissions
- Not reported
- Finders' fees
- Not reported
- Form D file number
- 021-156993
Source: Form D, filed Apr 30, 2021. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| James R. Boothe | Executive |
| David Allen Chalupnik | Executive |
| Nancy Crouse | Executive |
| John A. Gomez | Executive |
| Mary Ann C. Iudice | Executive |
| Mary Keefe | Executive |
| Michael G. Mayfield | Executive |
| Avi M. Mizrachi | Executive |
| N/A Nuveen Investments, Inc. | Promoter |
| D Avid Sung Min Park | Executive |
| David Sung Min Park | Executive |
| Steven Spencer | Executive |
Issuer details
Industry: Other Banking and Financial Services (See others in industry)
Address:
2029 Century Park East 16 Th Floor
Los Angeles, CA, 90067
Los Angeles, CA, 90067