Saratoga Research & Investment Management
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Overview
Saratoga Research & Investment Management is a financial advisory company based in Saratoga, California. The firm administers $2.6 billion in assets throughout 3,287 accounts, making it one of the biggest financial advisory firms in the nation by assets under management (AUM). It has a small team, including 13 financial advisors. Saratoga Research & Investment Management does not act as a registered broker-dealer, meaning it cannot buy and sell securities for its own accounts as well as its customers' and instead has to go through a broker-dealer firm to do so. Securities are defined as exchangable fiscal assets like options, equities and bonds.
Saratoga Research & Investment Management administers 3,270 of the firm's accounts in a discretionary manner. Discretionary management means that buy and sell judgments are made by a portfolio manager without needing to seek the client's permission. The firm also oversees 17 non-discretionary accounts totaling $16.6 million in AUM. The company manages roughly $792,145 for each client account. An average financial advisor at Saratoga Research & Investment Management oversees around 253 client accounts.
The firm's headquarters is at 14471 Big Basin Way, Suite E, Saratoga, California 95070. The company is legally allowed to provide services to customers throughout 36 U.S. states and territories.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Saratoga Research & Investment Management by the Numbers
$2.6 billion
23
3,287
$792.1 thousand
Fee Structure
Financial management fees are based on which service is offered. Fees charged by the firm typically consist of the following fee type: asset-based. Wrap fee programs, or the practice of bundling services for a single fee, are provided by the company.
Available
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Offered by 69% of firms
Percentage of Assets
Unavailable
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Find one of the 21% of firms that offer this fee type
Hourly
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Find one of the 1% of firms that offer this fee type
Commissions
-
Find one of the 26% of firms that offer this fee type
Performance-based
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Find one of the 0% of firms that offer this fee type
Subscription
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Find one of the 32% of firms that offer this fee type
Fixed
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Find one of the 10% of firms that offer this fee type
Other
Types of Clients
Saratoga Research & Investment Management works with a broad range of investors. The company works with retail investors, high net worth investors, investment companies, pooled investment vehicles, pension plans, charitable organizations and corporations. Out of its 3,287 clients, Saratoga Research & Investment Management's largest client type by number of accounts is retail investors, though it also serves 397 high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 in AUM or a net worth of at least $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its customers are represented by non-U.S. persons.
- High-Net-Worth Individuals* - 12.08%
- Other Individuals - 79.83%
- Corporations - 6.66%
- Charitable Organizations - 1.43%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Saratoga Research & Investment Management does not have any disclosures.
Please visit its Form ADV for more details.
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Financial Advisors at Saratoga Research & Investment Management
Saratoga, CA
Saratoga, CA
Ponte Vedra, FL
Saratoga, CA
Saratoga, CA
Saratoga, CA
Saratoga, CA
Saratoga, CA
Saratoga, CA
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