The SARATOGA CAPITAL MANAGEMENT,LLC is a privately held investment adviser that advises $301.8mn in regulatory assets under management held in 0 SEC fund types across 3 investment strategies. SARATOGA CAPITAL MANAGEMENT,LLC is a Public Fund A public fund manager is a manager whose >=75% of total assets under management are in public funds (broadly accessible, exchange-listed investment vehicles available to retail investors with typically low minimums and clear, widely available information) Manager. Assets decreased by 75.47% over the last 5-years.
The Group has been registered with the SEC for 31.72 years and is comprised of 1 filing and 0 relying advisers. They operate out of 1 office location with their Headquarters at 12725 W INDIAN SCHOOL ROAD SUITE E-101, AVONDALE, AZ. The Group has not been subject to regulatory enforcement actions. They are regulated by 1 US and Non-US bodies.
They have 4 employees comprised of 3 investment and 1 non-investment staff. The total number of Employees decreased by 50% over the last 5-years.
Their $301.8mn in assets advised are owned by 0 private funds, 14 public funds and BDCs and 0 other accounts. Assets of Investment Companies (IC) clients total $301.8mn or 100% of Total Assets.
The Group's top investment strategies include Long/Short Equity, FI/Credit - Diverse and Multi Strat, representing 84.82%, 8.61% and 6.56% of total assets, respectively.
They advise 1 types of clients, top clients are Investment Companies (IC).
The Group uses 1 Fund Administrators, 1 Fund Auditors, 0 Prime Brokers, 1 Custodians and 1 Marketers. It does not report a third-party Fund Administrator in 0 private funds with $0 in assets.
The Group discloses advisory fees and management fees.
SARATOGA CAPITAL MANAGEMENT,LLC names 0 sub-advisers to 0 different funds advised by the group. The Group has been named as the sub-adviser to 0 funds.
They have a MEDIUM-WATCH risk business model that requires a high degree of process maturity to manage operational risk. A Manager Group has a "High Complexity" when 25% or more of 63 business conditions measured require a high level of process maturity to manage the risk. The "Watch" suffix indicates that one or more of the following business conditions carry a high-complexity score: 1) % Fund Assets Valued Internally, 2) prior Regulatory Violations, 3) Unqualified Audits, 4) Multi-Functional C-Suite and 5) Business Concentration Risk with an Auditor or Administrator.
In SARATOGA CAPITAL MANAGEMENT,LLC's case, they have 5 business conditions that require high process maturity and 1 Watch Factors.