Investment adviser · CRD 110506
SARATOGA RESEARCH & INVESTMENT MANAGEMENT
Investment adviser filing (IA)
SARATOGA, CA, United States · Form ADV filed Apr 6, 2026
- Regulatory AUM
- $2.51B Form ADV · Item 5.F
- Client accounts
- 2,740 Accounts, not individual clients
- Employees
- 21 Reported in this filing
- Advisory professionals
- 12 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| High-net-worth individuals | 451 | $1,161,459,063 | 46.3% |
| Individuals | 2,103 | $748,375,077 | 29.8% |
| Corporations & businesses | 90 | $309,988,499 | 12.4% |
| Investment companies | 1 | $173,529,435 | 6.9% |
| Charities | 31 | $58,208,281 | 2.3% |
| Retirement plans | 64 | $57,753,468 | 2.3% |
Filing source
Form ADV 2092062 · Apr 6, 2026 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: Apr 6, 2026. View historical filings
Reported services
Financial planning · Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management
Compensation
Percentage of assets
Principal office
14471 BIG BASIN WAY, SUITE ESARATOGA, CA, 95070, United States
CRD 110506
Filing source
Form ADV 2092062 · Apr 6, 2026 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.