Saratoga Research & Investment Management (Saratoga)

Name: Saratoga Research & Investment Management
Address: 14471 Big Basin Way, Suite E, Saratoga, CA, 95070
Telephone: (408) 741-2330

Saratoga Research & Investment Management is a large advisory firm based in Saratoga. It manages $2.01 billion of regulatory assets for 3,616 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Arizona, California, Florida, and 4 other states.

Saratoga Research & Investment Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and securities research. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Saratoga Research & Investment Management: assets under management

The assets under management (AUM) of Saratoga Research & Investment Management is $2.01 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 2305% since the beginning of its operation, and $4.06 million of the total AUM is attributable to clients outside of the United States.

The firm manages $2.01 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $556.85 thousand each.

Saratoga Research & Investment Management has custody of $75.89 million in cash and securities for 85 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 66% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 33% of the firm’s portfolio. Investments in investment grade corporate bonds form 1% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Saratoga Research & Investment Management for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Kevin Peter Tanner serves?

The firm provides services to individuals, investment companies, charitable organizations, high net worth individuals, pooled investment vehicles, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Kevin Peter Tanner is individuals with 3,086 clients and $898.67 million of assets under management. Among the 8 most similar advisory firms, Saratoga Research & Investment Management has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $2.01 billion for 3,616 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Saratoga Research & Investment Management also advises several private funds.

Careers at Saratoga Research & Investment Management

The company employs 18 people that are either part- or full-time employees. 44 percent of the employees work as investment advisers or researchers. 12 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Kevin Peter Tanner has been acting as President since 1 Apr 1995. Marc Cook Crosby joined the executive team most recently as the President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Kevin Peter Tanner	President/cfo	1 Apr 1995	75% - 100%	1397749
Aileen Kay Braga	Chief compliance officer	1 Mar 2010	Other	2241901
Travis Osborn Hanson	Chief financial officer	1 May 2016	Other	6772317
Marc Cook Crosby	President	1 Jan 2017	Other	6135326

Based in Saratoga

The principal office where Saratoga Research & Investment Management performs its advisory services is located at 14471 Big Basin Way, Suite E, Saratoga, CA 95070 The mailing address of the firm is P.O. Box 3552, Saratoga, CA 95070. An additional office of the firm is in Seattle, WA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (408) 741-2330 or by fax (408) 877-1525. The normal business hours are 6:00 a.m. - 4:00 p.m. on Monday - Friday. You can find more information about the New York firm at saratogarim.com.