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SARATOGA CAPITAL MANAGEMENT, LLC

AVONDALE, AZ · CRD 112021 · IAPD ↗ · 623-266-4567

$138.8MRegulatory AUM
3Advisory reps
4Employees
0Clients
0Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
April 2026 — SARATOGA CAPITAL MANAGEMENT, LLC notice-filed in CA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
April 2026 — SARATOGA CAPITAL MANAGEMENT, LLC added office(s): 0 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
75
April 2026 — SARATOGA CAPITAL MANAGEMENT, LLC now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
45
April 2025 — SARATOGA CAPITAL MANAGEMENT,LLC is now doing business as SARATOGA CAPITAL MANAGEMENT, LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM

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