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SARATOGA RESEARCH & INVESTMENT MANAGEMENT

SARATOGA, CA · CRD 110506 · IAPD ↗ · saratogarim.com · (408) 741-2330

$2.51BRegulatory AUM
12Advisory reps
21Employees
0Clients
11-25Planning clients
0Private funds
38States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
April 2026 — SARATOGA RESEARCH & INVESTMENT MANAGEMENT reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
49
April 2025 — SARATOGA RESEARCH & INVESTMENT MANAGEMENT notice-filed in MS, SD.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
April 2024 — SARATOGA RESEARCH & INVESTMENT MANAGEMENT reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
80
April 2024 — SARATOGA RESEARCH & INVESTMENT MANAGEMENT now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.