SARATOGA RESEARCH & INVESTMENT MANAGEMENT
Firm details
- Headquarters
- SARATOGA, California
- CRD number
- 110506
- Registered since
- July 3, 2000
- Website
- www.saratogarim.com
- Custodians
- CHARLES SCHWAB & CO., INC., NATIONAL FINANCIAL SERVICES LLC, FINEMARK
- Fee structure
- Percentage of AUM
- Client types
- HNWI46.29%
- Individuals29.82%
- Corporations / Businesses12.35%
- Investment Companies6.92%
- Charitable Organizations2.32%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Pooled Investment Vehicles
Firm profile
FINTRXOverview
Saratoga Research & Investment Management is an independent registered investment adviser organized as a corporation and operating since 2000. The firm serves both individuals and families as well as institutional clients, charging fees as a percentage of assets under management. Its advisory work spans financial planning and discretionary portfolio management for individuals, pooled vehicles and investment companies. The firm reports a preference for equity strategies and does not position itself as an ESG-focused manager.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities75%
- Cash & Cash Equivalents20%
- US Government Bonds4%
- Investment Grade Corp Bonds1%
Owners & executives
3 of 3KEVIN TANNER
Chairman, CEO & Chief Investment OfficerCRD 1397749
TRAVIS HANSON
Chief Financial Officer & Operations SpecialistCRD 6772317
MADELINE HEDGES
Chief Compliance OfficerCRD 5159813
Contacts
3 of 14MARK MCCLENAHAN
Director of Investor RelationsCRD 2323315
Andrew Early
Analyst & Portfolio ManagerCRD 7094535
SHOICHI SATO
Analyst & Portfolio ManagerCRD 6119891
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 4Active vs passive
$40.1M in ETFs
100%
$40.1M
0%
$0
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| STATE STREET(R) SPDR(R) BLOOMBERG 1-3 MONTH T-BILL ETF (BIL) | State Street | Passive | Ultrashort Bond | $19.7M | 215,077 | 49.14% |
Location
SARATOGA, CA
SANTA CLARA
Location
SARATOGA, CA
Headquartered in SARATOGA, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.
- Metro area
- San Jose-San Francisco-Oakland, CA
- Region
- West
- County
- SANTA CLARA
- Address
- 14471 Big Basin Way
- Time zone
- PT (UTC-8)
- Office locations
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