← Directory
SARATOGA RESEARCH & INVESTMENT MANAGEMENT
CRD 110506File 801-57695
APPROVED
Retail clients
Custody
Filing as of Apr 6, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$2.51B
Top 25% of cohort (national)
Discretionary AUM
$2.47B
Non-discretionary $43.0M
Clients
2,740
2,740 accounts
Employees
21
Top 25% of cohort in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Jul 3, 2000
- Principal office
- 14471 BIG BASIN WAY, SUITE E, SARATOGA, CA, 95070
- Phone
- (408) 741-2330
- Website
- HTTPS://WWW.SARATOGARIM.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.51B
- Discretionary AUM
- $2.47B
- Non-discretionary AUM
- $43.0M
- Discretionary accounts
- 2,682
- Non-discretionary accounts
- 58
- Total accounts
- 2,740
- AUM per client
- $916K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 90 | $310.0M |
| Investment companies | 1 | $173.5M |
| Charitable organizations | 31 | $58.2M |
| High net worth individuals | 451 | $1.16B |
| Pension and profit sharing plans | 64 | $57.8M |
| Individuals (other than high net worth individuals) | 2,103 | $748.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.