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 first registered with the SEC in 2000. The firm is individually owned and serves both high-net-worth individuals and families as well as institutional clients. Its advisory model centers on fee-based portfolio management (percentage of AUM) and financial planning. Advisory capabilities include portfolio management for individuals and small businesses, management services for investment companies, and oversight of pooled investment vehicles. The firm does not identify as an active ESG investor in the source data.
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 3
Kevin Tanner
Chairman, CEO & Chief Investment OfficerCRD 1397749
Travis Hanson
Chief Financial Officer & Operations SpecialistCRD 6772317
Madeline Hedges
Chief Compliance OfficerCRD 5159813
Contacts
3 of 14
Mark 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
$41.3M in ETFs
100%
$41.3M
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 | 215,009 | 47.68% |
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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