SB
Santa Barbara Asset Management, LLC Historical SEC 13F Holdings & Archive (Q1 2019)
Santa Barbara Asset Management, LLCCIK: 0001109426
Diversified strategyMomentum followerQuality / disciplined sizing
Total reported value
$6.4B
Reporting period: 2019-03-31 · Number of holdings: 53
Santa Barbara Asset Management, LLC disclosed 53 holdings in its latest 13F filing for the period ending 2019-03-31, with total reported value of $6.4B and a quarterly turnover rate of 26.7%.
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Personality snowflake
- Concentration
- 10.92
- Portfolio Stability
- 26.7
- Momentum
- 100
- Sector conviction
- 39.77
- Diversification
- 100
- Sizing Uniformity
- 93.25
Santa Barbara Asset Management, LLC's disclosed holdings carry a Herfindahl concentration index of 0.027 — mathematically equivalent to about 37 equally-sized positions, close to its 53 actual disclosed holdings. Value is spread relatively evenly across the portfolio rather than concentrated in a handful of names.
Position sizes are fairly uniform across the portfolio (a coefficient of variation of 0.68), suggesting a disciplined, rules-based approach to how much capital goes into each idea.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 55% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govTrim PFE
-99.8% -$190.3M
Add SLB
+57.7% $68.3M
Add PM
+17.2% $59.5M
Add G0177J108
+42.7% $56.5M
Add CMCSA
+15.6% $53.2M
Trim WHR
-72.3% -$43.9M
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | MSFT | Microsoft CORP | Stock-Tech | 4.81% | -0.31% | -16.23% | |
| 2 | UNH | Unitedhealth Group Inc | Stock-Healthcare | 3.64% | -0.21% | -1.28% | |
| 3 | NEE | Nextera Energy Inc | Stock-Utilities | 3.62% | +0.19% | -1.66% | |
| 4 | LOW | Lowe's Cos Inc | Stock-Consumer Disc | 3.62% | +0.44% | -0.64% | |
| 5 | FIS | Fidelity National Info Serv | Stock-Tech | 3.38% | +0.16% | -1.43% | |
| 6 | JPM | Jpmorgan Chase & Co | Stock-Financials | 3.33% | -0.03% | -1.00% | |
| 7 | ACN | Accenture plc | Stock-Tech | 3.23% | +0.56% | +0.41% | |
| 8 | CMCSA | Comcast Corp-class A | Stock-Comm Services | 3.14% | +0.74% | +15.62% | |
| 9 | UNP | Union Pacific CORP | Stock-Industrials | 2.92% | +0.36% | -2.41% | |
| 10 | CSCO | Cisco Systems Inc | Stock-Tech | 2.87% | +0.45% | -1.68% | |
| 11 | PSX | Phillips 66 | Stock-Energy | 2.83% | +0.45% | +11.43% | |
| 12 | PKG | Packaging CORP Of America | Stock-Consumer Disc | 2.78% | +0.48% | +4.96% | |
| 13 | PEP | Pepsico Inc | Stock-Consumer Staples | 2.74% | +0.16% | -0.86% | |
| 14 | TXN | Texas Instruments Inc | Stock-Tech | 2.66% | -0.35% | -18.37% | |
| 15 | LMT | Lockheed Martin CORP | Stock-Industrials | 2.62% | +0.55% | +14.41% | |
| 16 | PM | Philip Morris International | Stock-Consumer Staples | 2.61% | +0.87% | +17.19% | |
| 17 | WEC | Wec Energy Group Inc | Stock-Utilities | 2.52% | +0.20% | -1.52% | |
| 18 | MDT | Medtronic plc | Stock-Healthcare | 2.51% | +0.31% | +17.95% | |
| 19 | ✓ | Stock-Other | 2.44% | +0.83% | +42.74% | ||
| 20 | IR | Ingersoll Rand Inc. | Stock-Industrials | 2.41% | +0.27% | -1.34% | |
| 21 | CME | Cme Group Inc | Stock-Financials | 2.38% | +0.10% | +23.43% | |
| 22 | T | At&t Inc | Stock-Comm Services | 2.33% | +0.50% | +19.99% | |
| 23 | HON | Honeywell International Inc | Stock-Industrials | 2.33% | -0.14% | -18.80% | |
| 24 | MDLZ | Mondelez International Inc-a | Stock-Consumer Staples | 2.28% | +0.37% | -0.83% | |
| 25 | CONE1EUR | Cyrusone Inc | Stock-Other | 2.27% | +0.02% | +5.43% | |
| 26 | CVX | Chevron CORP | Stock-Energy | 2.26% | +0.16% | -1.26% | |
| 27 | LIN | Linde plc | Stock-Materials | 2.24% | +0.06% | -5.61% | |
| 28 | SLB | Slb LTD | Stock-Energy | 2.24% | +1.02% | +57.74% | |
| 29 | PNC | Pnc Financial Services Group | Stock-Financials | 2.23% | +2.23% | NEW | |
| 30 | O | Realty Income CORP | Stock-Real Estate | 2.20% | -0.25% | -20.37% | |
| 31 | CB | Chubb Limited | Stock-Financials | 2.10% | +0.16% | +2.92% | |
| 32 | MRSH | Marsh & Mclennan Cos | Stock-Financials | 2.09% | -0.40% | -26.23% | |
| 33 | JNJ | Johnson & Johnson | Stock-Healthcare | 2.03% | +0.03% | -3.27% | |
| 34 | BLKCHF | Blackrock Inc | Stock-Other | 2.02% | +0.07% | -1.22% | |
| 35 | DIS | Walt Disney Co/the | Stock-Comm Services | 1.96% | -0.01% | +1.80% | |
| 36 | CL | Colgate-palmolive Co | Stock-Consumer Staples | 1.92% | +0.20% | +0.86% | |
| 37 | CCL1EUR | Carnival CORP LTD | Stock-Consumer Disc | 1.80% | +0.51% | +40.40% | |
| 38 | CVS | Cvs Health CORP | Stock-Healthcare | 1.67% | -0.43% | -0.12% | |
| 39 | WHR | Whirlpool CORP | Stock-Consumer Disc | 0.36% | -0.72% | -72.33% | |
| 40 | SAP | Sap Se-sponsored Adr | Stock-Tech | 0.10% | +0.02% | +8.43% | |
| 41 | TD | Toronto-dominion Bank | Stock-Financials | 0.09% | +0.03% | +56.25% | |
| 42 | LYG | Lloyds Banking Group Plc-adr | Stock-Financials | 0.06% | +0.01% | +0.34% | |
| 43 | SNY | Sanofi-adr | Stock-Healthcare | 0.06% | — | +0.18% | |
| 44 | ENB | Enbridge Inc | Stock-Energy | 0.06% | +0.01% | +0.40% | |
| 45 | UL | Unilever PLC | Stock-Consumer Staples | 0.05% | — | +0.14% | |
| 46 | IX | Orix - Sponsored Adr | Stock-Other | 0.05% | +0.01% | +54.37% | |
| 47 | VOD | Vodafone Group Plc-sp Adr | Stock-Comm Services | 0.03% | — | +0.31% | |
| 48 | GRFS | Grifols Sa-adr | Stock-Other | 0.03% | — | +0.97% | |
| 49 | WPP | Wpp Plc-sponsored Adr | Stock-Other | 0.03% | — | +4.74% | |
| 50 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 0.02% | -0.64% | -97.37% |
1–50 of 53
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
| Period | Holdings | Total value | Stability | Top holdings | |
|---|---|---|---|---|---|
| 2019 Q1 | 53 | $6.4B | 27 | ||
| 2018 Q4 | 56 | $6.2B | 24 | ||
| 2018 Q3 | 53 | $6.9B | 12 | ||
| 2018 Q2 | 54 | $6.6B | 15 | ||
| 2018 Q1 | 54 | $6.5B | 11 | ||
| 2017 Q4 | 53 | $6.6B | 15 | ||
| 2017 Q3 | 55 | $6.3B | 12 | ||
| 2017 Q2 | 56 | $5.9B | 12 | ||
| 2017 Q1 | 53 | $5.8B | 15 | ||
| 2016 Q4 | 57 | $5.5B | 9 | ||
| 2016 Q3 | 57 | $5.4B | 15 | ||
| 2016 Q2 | 55 | $5.3B | 16 | ||
| 2016 Q1 | 54 | $5.1B | 16 | ||
| 2015 Q4 | 55 | $5.0B | 16 | ||
| 2015 Q3 | 56 | $4.8B | 29 | ||
| 2015 Q2 | 53 | $5.0B | 16 | ||
| 2015 Q1 | 56 | $5.2B | 22 | ||
| 2014 Q4 | 58 | $5.0B | 13 | ||
| 2014 Q3 | 59 | $4.8B | 14 | ||
| 2014 Q2 | 60 | $4.9B | 12 | ||
| 2014 Q1 | 62 | $4.7B | 18 | ||
| 2013 Q4 | 63 | $4.5B | 17 | ||
| 2013 Q3 | 74 | $4.2B | 24 | ||
| 2013 Q2 | 72 | $3.8B | 0 |
Holding changes this quarter
Santa Barbara Asset Management, LLC's most significant position changes for 2019-03-31: Sold out: Apple Inc (AAPL); New buy: Pnc Financial Services Group (PNC); Sold out: Becton Dickinson And Co (BDX); Sold out: Totalenergies Se -spon Adr (TTEN); Sold out: Ishares Msci Acwi ETF (ACWI).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | SLB | Slb LTD | +1% | +57.74% | Add |
| 2 | PM | Philip Morris International | +0.9% | +17.19% | Add |
| 3 | ✓ | +0.8% | +42.74% | Add | |
| 4 | CMCSA | Comcast Corp-class A | +0.7% | +15.62% | Add |
| 5 | ACN | Accenture plc | +0.6% | +0.41% | Add |
| 6 | LMT | Lockheed Martin CORP | +0.6% | +14.41% | Add |
| 7 | CCL1EUR | Carnival CORP LTD | +0.5% | +40.40% | Add |
| 8 | T | At&t Inc | +0.5% | +19.99% | Add |
| 9 | PKG | Packaging CORP Of America | +0.5% | +4.96% | Add |
| 10 | PSX | Phillips 66 | +0.5% | +11.43% | Add |
| 11 | CSCO | Cisco Systems Inc | +0.5% | -1.68% | Trim |
| 12 | LOW | Lowe's Cos Inc | +0.4% | -0.64% | Trim |
| 13 | MDLZ | Mondelez International Inc-a | +0.4% | -0.83% | Trim |
| 14 | UNP | Union Pacific CORP | +0.4% | -2.41% | Trim |
| 15 | MDT | Medtronic plc | +0.3% | +17.95% | Add |
| 16 | IR | Ingersoll Rand Inc. | +0.3% | -1.34% | Trim |
| 17 | WEC | Wec Energy Group Inc | +0.2% | -1.52% | Trim |
| 18 | CL | Colgate-palmolive Co | +0.2% | +0.86% | Add |
| 19 | NEE | Nextera Energy Inc | +0.2% | -1.66% | Trim |
| 20 | FIS | Fidelity National Info Serv | +0.2% | -1.43% | Trim |
| 21 | PEP | Pepsico Inc | +0.2% | -0.86% | Trim |
| 22 | CVX | Chevron CORP | +0.2% | -1.26% | Trim |
| 23 | CB | Chubb Limited | +0.2% | +2.92% | Add |
| 24 | CME | Cme Group Inc | +0.1% | +23.43% | Add |
| 25 | BLKCHF | Blackrock Inc | +0.1% | -1.22% | Trim |
| 26 | LIN | Linde plc | +0.1% | -5.61% | Trim |
| 27 | JNJ | Johnson & Johnson | 0% | -3.27% | Trim |
| 28 | TD | Toronto-dominion Bank | 0% | +56.25% | Add |
| 29 | CONE1EUR | Cyrusone Inc | 0% | +5.43% | Add |
| 30 | SAP | Sap Se-sponsored Adr | 0% | +8.43% | Add |
| 31 | IX | Orix - Sponsored Adr | 0% | +54.37% | Add |
| 32 | LYG | Lloyds Banking Group Plc-adr | 0% | +0.34% | Add |
| 33 | ENB | Enbridge Inc | 0% | +0.40% | Add |
| 34 | DIS | Walt Disney Co/the | 0% | +1.80% | Add |
| 35 | JPM | Jpmorgan Chase & Co | 0% | -1.00% | Trim |
| 36 | HON | Honeywell International Inc | -0.1% | -18.80% | Trim |
| 37 | UNH | Unitedhealth Group Inc | -0.2% | -1.28% | Trim |
| 38 | O | Realty Income CORP | -0.3% | -20.37% | Trim |
| 39 | MSFT | Microsoft CORP | -0.3% | -16.23% | Trim |
| 40 | TXN | Texas Instruments Inc | -0.4% | -18.37% | Trim |
| 41 | MRSH | Marsh & Mclennan Cos | -0.4% | -26.23% | Trim |
| 42 | CVS | Cvs Health CORP | -0.4% | -0.12% | Trim |
| 43 | SPY | Ss Spdr S&p 500 ETF Trust-us | -0.6% | -97.37% | Trim |
| 44 | WHR | Whirlpool CORP | -0.7% | -72.33% | Trim |
| 45 | PFE | Pfizer Inc | -3.1% | -99.80% | Trim |
| 46 | AAPL | Apple Inc | — | EXIT | Sold out |
| 47 | PNC | Pnc Financial Services Group | — | NEW | New buy |
| 48 | BDX | Becton Dickinson And Co | — | EXIT | Sold out |
| 49 | TTEN | Totalenergies Se -spon Adr | — | EXIT | Sold out |
| 50 | ACWI | Ishares Msci Acwi ETF | — | EXIT | Sold out |
💡
Data Source Notice: AlphaSMO is the web's most authoritative 13F / Inside Trader database. Institutional holdings and insider trades presented here are precisely computed to deliver accurate portfolio reporting.
Filing History
FAQ
What is Santa Barbara Asset Management, LLC and what type of investor is it?
Santa Barbara Asset Management, LLC is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2019-03-31), the firm manages a tracked equity portfolio valued at approximately $6.4B, spread across 53 disclosed positions.
What are Santa Barbara Asset Management, LLC's largest equity positions?
Based on the latest 13F filing, Santa Barbara Asset Management, LLC's top holdings by market value are:
1. Microsoft CORP (MSFT) — $309.0M (4.8%)
2. Unitedhealth Group Inc (UNH) — $234.0M (3.6%)
3. Nextera Energy Inc (NEE) — $232.9M (3.6%)
4. Lowe's Cos Inc (LOW) — $232.4M (3.6%)
5. Fidelity National Info Serv (FIS) — $217.1M (3.4%)
What changes did Santa Barbara Asset Management, LLC make in its most recent portfolio filing?
In the latest reported quarter, Santa Barbara Asset Management, LLC made 50 notable position adjustments: 1 new positions were initiated, 21 existing holdings were added to, 24 positions were partially reduced, and 4 were completely exited. The largest of these moves: Sold out: Apple Inc (AAPL); New buy: Pnc Financial Services Group (PNC); Sold out: Becton Dickinson And Co (BDX); Sold out: Totalenergies Se -spon Adr (TTEN); Sold out: Ishares Msci Acwi ETF (ACWI)
What sectors does Santa Barbara Asset Management, LLC focus on?
Santa Barbara Asset Management, LLC is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 18.9%
• Industrials: 14.4%
• Communication Services: 13.6%
• Health Care: 13.5%
• Financials: 10.5%
• Consumer Discretionary: 9.9%
Investment Profile
Santa Barbara Asset Management, LLC's portfolio is broadly diversified and moderately active.
Its turnover score has risen from 11 to 27 over the past 4 quarters — a shift toward more active trading.
It has added to its CME position over the past two quarters (+$59.9M, now $152.9M), while trimming PFE over the same stretch (-$191.7M, still holding $364.0K).
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Developer Access
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