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SARATOGA RESEARCH & INVESTMENT MANAGEMENT
CRD 110506 · SEC 801-57695
14471 BIG BASIN WAY, SUITE E, SARATOGA, CA, 95070, United States
Phone
(408) 741-2330
Fax
(408) 877-1525
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$2.51B
Discretionary AUM
$2.47B
Team
21 total employees; 12 advisory reps
Clients
11-25
Fees
Percentage of AUM
Org form
Corporation
Filing date
2026-04-06
Disciplinary history
No
Services
Financial planningPortfolio management (individuals)Portfolio management (investment companies)Portfolio management (pooled vehicles)SECURITIES RESEARCH
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 2103 | $748.4M |
| High net worth individuals | 451 | $1.16B |
| Investment companies | 1 | $173.5M |
| Pension/profit sharing plans | 64 | $57.8M |
| Charitable organizations | 31 | $58.2M |
| Corporations/business entities | 90 | $310.0M |
States served
AL, AZ, CA, CO, GA, ID, IL, IN, LA, MD, MA, MI, MN, MS, MT, NV, NJ, NM, NY, NC, OH, OK, OR, PA, SC, TN, UT, VA, WV, WI, MO, WA, TX, NH, HI, CT, FL, SD
All web addresses on file
Official SEC filing: View on IAPD