SARATOGA CAPITAL MANAGEMENT,LLC
Adviser information for SARATOGA CAPITAL MANAGEMENT,LLC last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $161.5M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $161.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $161.5M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesSelection of other advisers (including private fund managers)ASSET ALLOCATION SERVICES |
|---|---|
| Compensation | % of AUMLICENSING FEES |
Identifiers
| SEC RIA File Number | 801-46534 |
|---|---|
| SEC ERA File Number | 801-46534 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 112021 |
| Legal Entity Identifier | None |
Principal Office
12725 W INDIAN SCHOOL ROADSUITE E-101
AVONDALE
AZ
United States
Monday - Friday, 9:00A.M. - 5:00P.M. MST-AZ
Tel: 623-266-4567, Fax: None
Chief Compliance Officer
JONATHAN VENTIMIGLIA
CHIEF FINANCIAL OFFICER
12725 W INDIAN SCHOOL ROAD
SUITE E-101
AVONDALE
AZ
United States
Tel:
623-266-4567
J***********@**************M
(Full email address available in API data)
Regulatory Contact
BRUCE E. VENTIMIGLIA
PRESIDENT
12725 W INDIAN SCHOOL ROAD
SUITE E-101
AVONDALE
AZ
United States
Tel:
623-266-4567
B***********@**************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| VENTIMIGLIA, BRUCE, EDWARD | Individual | – | MANAGING DIRECTOR, MEMBER | 07/2002 | > 75% |
| VENTIMIGLIA, STEPHEN | Individual | – | MANAGER, MEMBER | 07/2002 | 5-10% |
| KANE, SCOTT, CHRISTOPHER | Individual | – | MEMBER | 07/2002 | 5-10% |
| VENTIMIGLIA, JONATHAN, WILLIAM | Individual | – | CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER | 07/2009 | < 5% |