401k Plan data: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN plan

SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN
Plan identification number	001

SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

SANTA BARBARA ADVISORS, INC. has sponsored the creation of one or more 401k plans.

Company Name: SANTA BARBARA ADVISORS, INC.

Employer identification number (EIN): 770530176

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Additional information about SANTA BARBARA ADVISORS, INC.

Jurisdiction of Incorporation: California Department of State

Incorporation Date: 2000-01-03

Company Identification Number: C2153531

Legal Registered Office Address: 3700 State Street Ste 340

Santa Barbara
United States of America (USA)
93105

More information about SANTA BARBARA ADVISORS, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01 PAUL G. WEYMOUTH 2022-03-04
001 2020-01-01 PAUL G. WEYMOUTH 2021-04-20
001 2019-01-01 PAUL G. WEYMOUTH 2020-05-18
001 2018-01-01
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01
001 2013-01-01 JOHN S. WEYMOUTH
001 2012-01-01 JOHN S. WEYMOUTH
001 2011-01-01 JOHN S. WEYMOUTH
001 2009-01-01 DOUGLAS S. HENDRY

Plan Statistics for SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2022: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 3
Number of retired or separated participants receiving benefits 2022-01-01 1
Number of other retired or separated participants entitled to future benefits 2022-01-01 0
Total of all active and inactive participants 2022-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 4
Number of participants with account balances 2022-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 3
Number of retired or separated participants receiving benefits 2021-01-01 1
Total of all active and inactive participants 2021-01-01 4
Total participants 2021-01-01 4
Number of participants with account balances 2021-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 3
Number of retired or separated participants receiving benefits 2020-01-01 1
Total of all active and inactive participants 2020-01-01 4
Total participants 2020-01-01 4
Number of participants with account balances 2020-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 3
Number of retired or separated participants receiving benefits 2019-01-01 1
Total of all active and inactive participants 2019-01-01 4
Total participants 2019-01-01 4
Number of participants with account balances 2019-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 3
Number of other retired or separated participants entitled to future benefits 2018-01-01 1
Total of all active and inactive participants 2018-01-01 4
Total participants 2018-01-01 4
Number of participants with account balances 2018-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 3
Number of retired or separated participants receiving benefits 2017-01-01 1
Number of other retired or separated participants entitled to future benefits 2017-01-01 0
Total of all active and inactive participants 2017-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 4
Number of participants with account balances 2017-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 3
Number of retired or separated participants receiving benefits 2016-01-01 1
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 4
Number of participants with account balances 2016-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 3
Number of retired or separated participants receiving benefits 2015-01-01 1
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 4
Number of participants with account balances 2015-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 3
Number of retired or separated participants receiving benefits 2014-01-01 1
Number of other retired or separated participants entitled to future benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 4
Number of participants with account balances 2014-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 3
Number of retired or separated participants receiving benefits 2013-01-01 1
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 4
Number of participants with account balances 2013-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 3
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 1
Total of all active and inactive participants 2012-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 4
Number of participants with account balances 2012-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 3
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 1
Total of all active and inactive participants 2011-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 4
Number of participants with account balances 2011-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 3
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
Total of all active and inactive participants 2009-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 4
Number of participants with account balances 2009-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2022: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	3
Number of retired or separated participants receiving benefits	2022-01-01	1
Number of other retired or separated participants entitled to future benefits	2022-01-01	0
Total of all active and inactive participants	2022-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	4
Number of participants with account balances	2022-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	3
Number of retired or separated participants receiving benefits	2021-01-01	1
Total of all active and inactive participants	2021-01-01	4
Total participants	2021-01-01	4
Number of participants with account balances	2021-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	3
Number of retired or separated participants receiving benefits	2020-01-01	1
Total of all active and inactive participants	2020-01-01	4
Total participants	2020-01-01	4
Number of participants with account balances	2020-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	3
Number of retired or separated participants receiving benefits	2019-01-01	1
Total of all active and inactive participants	2019-01-01	4
Total participants	2019-01-01	4
Number of participants with account balances	2019-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	3
Number of other retired or separated participants entitled to future benefits	2018-01-01	1
Total of all active and inactive participants	2018-01-01	4
Total participants	2018-01-01	4
Number of participants with account balances	2018-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	3
Number of retired or separated participants receiving benefits	2017-01-01	1
Number of other retired or separated participants entitled to future benefits	2017-01-01	0
Total of all active and inactive participants	2017-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	4
Number of participants with account balances	2017-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	3
Number of retired or separated participants receiving benefits	2016-01-01	1
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	4
Number of participants with account balances	2016-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	3
Number of retired or separated participants receiving benefits	2015-01-01	1
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	4
Number of participants with account balances	2015-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	3
Number of retired or separated participants receiving benefits	2014-01-01	1
Number of other retired or separated participants entitled to future benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	4
Number of participants with account balances	2014-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	3
Number of retired or separated participants receiving benefits	2013-01-01	1
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	4
Number of participants with account balances	2013-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	3
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	1
Total of all active and inactive participants	2012-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	4
Number of participants with account balances	2012-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	3
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	1
Total of all active and inactive participants	2011-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	4
Number of participants with account balances	2011-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	3
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
Total of all active and inactive participants	2009-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	4
Number of participants with account balances	2009-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2022 : SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2022 401k financial data
Total plan liabilities at end of year	2022-12-31	$0
Total plan liabilities at beginning of year	2022-12-31	$0
Total income from all sources	2022-12-31	$-75,528
Expenses. Total of all expenses incurred	2022-12-31	$62,553
Benefits paid (including direct rollovers)	2022-12-31	$61,735
Total plan assets at end of year	2022-12-31	$930,894
Total plan assets at beginning of year	2022-12-31	$1,068,975
Value of fidelity bond covering the plan	2022-12-31	$665,000
Total contributions received or receivable from participants	2022-12-31	$0
Expenses. Other expenses not covered elsewhere	2022-12-31	$0
Contributions received from other sources (not participants or employers)	2022-12-31	$0
Other income received	2022-12-31	$-78,538
Noncash contributions received	2022-12-31	$0
Net income (gross income less expenses)	2022-12-31	$-138,081
Net plan assets at end of year (total assets less liabilities)	2022-12-31	$930,894
Net plan assets at beginning of year (total assets less liabilities)	2022-12-31	$1,068,975
Assets. Value of assets in partnership/joint-venture interests	2022-12-31	$147,897
Total contributions received or receivable from employer(s)	2022-12-31	$3,010
Value of certain deemed distributions of participant loans	2022-12-31	$0
Value of corrective distributions	2022-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2022-12-31	$818
2021 : SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2021 401k financial data
Total income from all sources	2021-12-31	$68,860
Expenses. Total of all expenses incurred	2021-12-31	$349,815
Benefits paid (including direct rollovers)	2021-12-31	$348,907
Total plan assets at end of year	2021-12-31	$1,068,975
Total plan assets at beginning of year	2021-12-31	$1,349,930
Value of fidelity bond covering the plan	2021-12-31	$665,000
Other income received	2021-12-31	$65,485
Net income (gross income less expenses)	2021-12-31	$-280,955
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$1,068,975
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$1,349,930
Assets. Value of participant loans	2021-12-31	$0
Assets. Value of assets in partnership/joint-venture interests	2021-12-31	$274,083
Total contributions received or receivable from employer(s)	2021-12-31	$3,375
Expenses. Administrative service providers (salaries,fees and commissions)	2021-12-31	$908
2020 : SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total income from all sources	2020-12-31	$101,003
Expenses. Total of all expenses incurred	2020-12-31	$75,897
Benefits paid (including direct rollovers)	2020-12-31	$72,024
Total plan assets at end of year	2020-12-31	$1,349,930
Total plan assets at beginning of year	2020-12-31	$1,324,824
Value of fidelity bond covering the plan	2020-12-31	$665,000
Assets. Value of loans (other than to participants)	2020-12-31	$150,000
Other income received	2020-12-31	$96,753
Net income (gross income less expenses)	2020-12-31	$25,106
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$1,349,930
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$1,324,824
Assets. Value of participant loans	2020-12-31	$30,542
Assets. Value of assets in partnership/joint-venture interests	2020-12-31	$444,083
Total contributions received or receivable from employer(s)	2020-12-31	$4,250
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$3,873
2019 : SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total plan liabilities at beginning of year	2019-12-31	$13,284
Total income from all sources	2019-12-31	$74,712
Expenses. Total of all expenses incurred	2019-12-31	$51,206
Benefits paid (including direct rollovers)	2019-12-31	$49,277
Total plan assets at end of year	2019-12-31	$1,324,824
Total plan assets at beginning of year	2019-12-31	$1,314,602
Value of fidelity bond covering the plan	2019-12-31	$665,000
Assets. Value of loans (other than to participants)	2019-12-31	$150,000
Other income received	2019-12-31	$70,193
Net income (gross income less expenses)	2019-12-31	$23,506
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$1,324,824
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$1,301,318
Assets. Value of participant loans	2019-12-31	$32,056
Assets. Value of assets in partnership/joint-venture interests	2019-12-31	$475,997
Total contributions received or receivable from employer(s)	2019-12-31	$4,519
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$1,929
2018 : SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total plan liabilities at end of year	2018-12-31	$13,284
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$27,062
Expenses. Total of all expenses incurred	2018-12-31	$49,864
Benefits paid (including direct rollovers)	2018-12-31	$48,945
Total plan assets at end of year	2018-12-31	$1,314,602
Total plan assets at beginning of year	2018-12-31	$1,324,120
Value of fidelity bond covering the plan	2018-12-31	$665,000
Assets. Value of loans (other than to participants)	2018-12-31	$150,000
Other income received	2018-12-31	$22,334
Net income (gross income less expenses)	2018-12-31	$-22,802
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$1,301,318
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$1,324,120
Assets. Value of assets in partnership/joint-venture interests	2018-12-31	$440,997
Total contributions received or receivable from employer(s)	2018-12-31	$4,728
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$919
2017 : SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$205,712
Expenses. Total of all expenses incurred	2017-12-31	$45,280
Benefits paid (including direct rollovers)	2017-12-31	$44,242
Total plan assets at end of year	2017-12-31	$1,324,120
Total plan assets at beginning of year	2017-12-31	$1,163,688
Value of fidelity bond covering the plan	2017-12-31	$665,000
Total contributions received or receivable from participants	2017-12-31	$0
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$0
Other income received	2017-12-31	$183,648
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$160,432
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$1,324,120
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$1,163,688
Assets. Value of assets in partnership/joint-venture interests	2017-12-31	$326,069
Total contributions received or receivable from employer(s)	2017-12-31	$22,064
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$1,038
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$17,601
Expenses. Total of all expenses incurred	2016-12-31	$251,093
Benefits paid (including direct rollovers)	2016-12-31	$250,389
Total plan assets at end of year	2016-12-31	$1,163,688
Total plan assets at beginning of year	2016-12-31	$1,397,180
Value of fidelity bond covering the plan	2016-12-31	$665,000
Total contributions received or receivable from participants	2016-12-31	$0
Expenses. Other expenses not covered elsewhere	2016-12-31	$704
Contributions received from other sources (not participants or employers)	2016-12-31	$0
Other income received	2016-12-31	$1,841
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$-233,492
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$1,163,688
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$1,397,180
Assets. Value of assets in partnership/joint-venture interests	2016-12-31	$520,069
Total contributions received or receivable from employer(s)	2016-12-31	$15,760
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$3,372
2015 : SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Transfers to/from the plan	2015-12-31	$0
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$66,412
Expenses. Total of all expenses incurred	2015-12-31	$547,277
Benefits paid (including direct rollovers)	2015-12-31	$546,346
Total plan assets at end of year	2015-12-31	$1,397,180
Total plan assets at beginning of year	2015-12-31	$1,878,045
Value of fidelity bond covering the plan	2015-12-31	$665,000
Total contributions received or receivable from participants	2015-12-31	$0
Expenses. Other expenses not covered elsewhere	2015-12-31	$931
Contributions received from other sources (not participants or employers)	2015-12-31	$0
Other income received	2015-12-31	$44,348
Noncash contributions received	2015-12-31	$0
Net income (gross income less expenses)	2015-12-31	$-480,865
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$1,397,180
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$1,878,045
Assets. Value of assets in partnership/joint-venture interests	2015-12-31	$524,118
Total contributions received or receivable from employer(s)	2015-12-31	$22,064
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$110,632
Expenses. Total of all expenses incurred	2014-12-31	$357,212
Benefits paid (including direct rollovers)	2014-12-31	$356,144
Total plan assets at end of year	2014-12-31	$1,878,045
Total plan assets at beginning of year	2014-12-31	$2,124,625
Value of fidelity bond covering the plan	2014-12-31	$665,000
Total contributions received or receivable from participants	2014-12-31	$0
Expenses. Other expenses not covered elsewhere	2014-12-31	$1,068
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$88,050
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$-246,580
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,878,045
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$2,124,625
Assets. Value of assets in partnership/joint-venture interests	2014-12-31	$577,428
Total contributions received or receivable from employer(s)	2014-12-31	$22,582
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$42,503
2013 : SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$33,823
Expenses. Total of all expenses incurred	2013-12-31	$324,191
Benefits paid (including direct rollovers)	2013-12-31	$323,343
Total plan assets at end of year	2013-12-31	$2,124,625
Total plan assets at beginning of year	2013-12-31	$2,414,993
Value of fidelity bond covering the plan	2013-12-31	$665,000
Total contributions received or receivable from participants	2013-12-31	$0
Expenses. Other expenses not covered elsewhere	2013-12-31	$848
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$9,980
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$-290,368
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$2,124,625
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$2,414,993
Assets. Value of assets in partnership/joint-venture interests	2013-12-31	$664,489
Total contributions received or receivable from employer(s)	2013-12-31	$23,843
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$131,887
2012 : SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$106
Total income from all sources	2012-12-31	$57,728
Expenses. Total of all expenses incurred	2012-12-31	$226,117
Benefits paid (including direct rollovers)	2012-12-31	$223,600
Total plan assets at end of year	2012-12-31	$2,414,993
Total plan assets at beginning of year	2012-12-31	$2,583,488
Value of fidelity bond covering the plan	2012-12-31	$260,000
Total contributions received or receivable from participants	2012-12-31	$0
Expenses. Other expenses not covered elsewhere	2012-12-31	$2,517
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$34,348
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$-168,389
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$2,414,993
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,583,382
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$466,945
Total contributions received or receivable from employer(s)	2012-12-31	$23,380
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$103,600
2011 : SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at end of year	2011-12-31	$106
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$133,265
Expenses. Total of all expenses incurred	2011-12-31	$300,825
Benefits paid (including direct rollovers)	2011-12-31	$300,000
Total plan assets at end of year	2011-12-31	$2,583,488
Total plan assets at beginning of year	2011-12-31	$2,750,942
Value of fidelity bond covering the plan	2011-12-31	$700,000
Total contributions received or receivable from participants	2011-12-31	$0
Expenses. Other expenses not covered elsewhere	2011-12-31	$825
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$108,730
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$-167,560
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,583,382
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,750,942
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$137,300
Total contributions received or receivable from employer(s)	2011-12-31	$24,535
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$363,418
Expenses. Total of all expenses incurred	2010-12-31	$100,623
Benefits paid (including direct rollovers)	2010-12-31	$100,000
Total plan assets at end of year	2010-12-31	$2,750,942
Total plan assets at beginning of year	2010-12-31	$2,488,147
Value of fidelity bond covering the plan	2010-12-31	$700,000
Total contributions received or receivable from participants	2010-12-31	$0
Expenses. Other expenses not covered elsewhere	2010-12-31	$623
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$344,658
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$262,795
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,750,942
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,488,147
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$231,169
Total contributions received or receivable from employer(s)	2010-12-31	$18,760
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN

2022: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: SANTA BARBARA ADVISORS, INC. 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	SANTA BARBARA ADVISORS, INC.
Employer identification number (EIN):	770530176
NAIC Classification:	523120
NAIC Description:	Securities Brokerage

Jurisdiction of Incorporation:	California Department of State
Incorporation Date:	2000-01-03
Company Identification Number:	C2153531
Legal Registered Office Address:	3700 State Street Ste 340 Santa Barbara United States of America (USA) 93105

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01
001	2021-01-01	PAUL G. WEYMOUTH	2022-03-04
001	2020-01-01	PAUL G. WEYMOUTH	2021-04-20
001	2019-01-01	PAUL G. WEYMOUTH	2020-05-18
001	2018-01-01
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01
001	2013-01-01	JOHN S. WEYMOUTH
001	2012-01-01	JOHN S. WEYMOUTH
001	2011-01-01	JOHN S. WEYMOUTH
001	2009-01-01	DOUGLAS S. HENDRY