SourcingSourcing

SARATOGA RESEARCH & INVESTMENT MANAGEMENT

C43
CRD 110506·SEC 801-57695·SARATOGA, CA
AUM
$2.51B
$1B+
Est. Revenue
$25.1M
@ 1% on AUM
Est. EBITDA
$7.5M
@ 30% margin
Est. Deal Value
$60.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SARATOGA RESEARCH & INVESTMENT MANAGEMENT
CRD
110506
SEC file #
801-57695
EIN
770401310
DBA names
—

Economics

AUM
$2.51B
AUM band
$1B+
AUM trajectory
'20'26
$2.01B → $2.51B▲ +25%
Client mix
Individuals Other2,103
Individuals High Net Worth451
Corporations90
Pension Profit Sharing Plans64
Charitable Organizations31

Operations

Employees (total)
21
Advisory staff (per ADV)
12
Advisory staff (5-yr trend)
'20'26
8 advisors → 12 advisors▲ +50%
Primary office
SARATOGA CA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — pooled vehicles
Fee basis
% of AUM

Filings

Latest ADV filing
04/06/2026
ADV-W filed at
—
Website
saratogarim.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
TANNER, KEVIN, PETER
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
6
Control Persons
TANNER, KEVIN, PETER
CROSBY, MARC, COOK
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SARATOGARIM.COM
Rdap Domain Creation Date
2006-12-14T18:28:23Z
Rdap Firm Age Years
20
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
17,633
Form 5500 Compensation Trajectory 3y
202517,633
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
17,633
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001477872
Edgar Registered
Yes
Edgar Filing Count
72
Edgar First Filing Date
2010-02-12
Edgar Last Filing Date
2026-05-08
Edgar 13f Count
70
Edgar 13f Latest AUM Estimate
Filing Date2026-05-08
Accession0001477872-26-000003

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
15
Bc Firm IAR Count
15
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fidelity2
Wells Fargo2
Morgan Stanley1
Edgar Addresses
Mailing
P.O BOX 3552SARATOGA, CA 95070
Business
14471 BIG BASIN WAYSUITE ESARATOGA, CA 95070
Edgar EIN
770401310
Edgar Recent Filings
13F-HR2026-05-08 · 0001477872-26-000003
13F-HR2026-02-05 · 0001477872-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-12-14T18:28:23Z
Rdap Domain Last Changed
2021-12-17T15:11:38Z
Rdap Nameservers
Ns47.worldnic.comNs48.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1397749
Trust Company Affiliate
No

People (17)

17
TANNER, KEVIN, PETER
IAR · Direct Owner · 37.5%
1397749
CROSBY, MARC, COOK
IAR · Direct Owner · 7.5%
6135326
SPENCER, PHILIP, ALBERT
IAR · Direct Owner · 7.5%
5649275
TANNER, JAMES, HAROLD
IAR · Direct Owner · 7.5%
2393970
HANSON, TRAVIS, OSBORN
Direct Owner · 7.5%
6772317
HEDGES, MADELINE, ELAINE
Executive Officer · 2.5%
5159813
Matthew Tyler Keating
IAR
7094524
JOSEPH HOWARD POLLARD
IAR
5958255
GEORGE WEHRFRITZ
IAR
5737710
ROBERT LEE MENG
IAR
6350494
MATTHEW DANIEL CASAS
IAR
6146130
SHOICHI ADAM SATO
IAR
6119891
MATHEW EDWARD SPENCER
IAR
6397158
Tierney Leigh-McClenahan Bosset
IAR
6979847
Andrew Joseph Early
IAR
7094535
MARK LEE MCCLENAHAN
IAR
2323315
TRACEY ALDEN DEVINE
IAR
1244439