Saratoga Research & Investment Management, federally registered in 2000, is a Registered Investment Advisor (RIA) in 8 state(s) with a licensed staff of 12 advisors. Saratoga Research & Investment Management manages $2.0 billion and provides investment advisory services for 3,616 clients (1:302 advisor/client ratio). This firm does not have a disciplinary history.

Benefits

high

Firm does not have any felony convictions.

Firm uses a transparent fee-only model.

Firm has been federally registered for 18 years.

medium

Firm has $1B or more in assets under management.

The firm's website is secure.

Firm does not have any misdemeanor convictions.

Firm does not have a 12b-1 conflict.

low

Firm does not privately manage or own the products they recommend.

Firm does not offer proprietary products.

Firm does not have an attorney conflict.

Firm does not accept performance-based fees.

Firm does not perform side-by-side management.

Firm provides mobile-friendly experience for their clients.

Considerations

low

Firm may receive soft-dollar benefits that could incentivize them to push trades through broker-dealers that provide advantages to the firm instead of through broker-dealers that could provide the best execution for their clients.

Feature

Value

Minimum Investment

$100,000

Average Client Balance

$556,849

Hybrid Advisor

Disciplinary History

Total AUM

$2.0 billion

Advisor / Client Ratio

1:302

Headquarters

E Saratoga, CA

SEC Filings

Forms and Brochures (CRD # 110506)

State(s) Registered

AZ, CA, FL, NV, NY, OR, TX, WA

Saratoga Research & Investment Management Review

Benefits

high

medium

low

Considerations

low

Firm Information

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