SourcingSourcing

SARATOGA CAPITAL MANAGEMENT, LLC

B64
CRD 112021·SEC 801-46534·AVONDALE, AZ
AUM
$138.8M
$100M-$500M
Est. Revenue
$1.4M
@ 1% on AUM
Est. EBITDA
$416K
@ 30% margin
Est. Deal Value
$3.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SARATOGA CAPITAL MANAGEMENT, LLC
CRD
112021
SEC file #
801-46534
EIN
043304963
DBA names
—

Economics

AUM
$138.8M
AUM band
$100M-$500M
AUM trajectory
'20'26
$1.23B → $138.8M▼ -89%
Client mix
Investment Companies1

Operations

Employees (total)
4
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
3 advisors → 3 advisors▬ 0%
Primary office
AVONDALE AZ
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — investment companiesPension consulting
Fee basis
% of AUMFixed feesOther Compensation

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
facebook.com/saratogacapital(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
VENTIMIGLIA, BRUCE, EDWARD
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
4
Control Persons
VENTIMIGLIA, BRUCE, EDWARD
VENTIMIGLIA, STEPHEN
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
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
social_url_excluded:facebook.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
Yes
Form 5500 Plan Count
6
Form 5500 Total Compensation
5,007,281
Form 5500 Compensation Trajectory 3y
20255,007,281
Form 5500 Plan Count Trajectory 3y
20256
Schedule C Total Compensation
5,007,281
Schedule C Service Provider Rows
6

SEC EDGAR

Edgar Cik
0001021642
Edgar Registered
Yes
Edgar Filing Count
277
Edgar First Filing Date
1999-06-21
Edgar Last Filing Date
2026-04-16
Edgar 13f Count
112
Edgar 13f Latest AUM Estimate
Filing Date2026-04-16
Accession0001021642-26-000002
Edgar Former Names
VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP
VAUGHAN NELSON SCARBOROUGH & MCCONNELL L P/TX

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.1743
Soi Zip Pct 200k Plus
0.025
Soi Zip Returns 200k Plus
450
Soi Zip Total AGI
1,117,429
Fdic Zip Total Deposits
2,657,784,000
Fdic Zip Branch Count
56
Fdic Zip Top Banks
Bank of America, National Association
JPMorgan Chase Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (22)

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
1
Bc Firm IAR Count
1
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
600 TRAVISSUITE 3800HOUSTON, TX 77002
Business
600 TRAVIS, SUITE 3800HOUSTON, TX 77002
Edgar EIN
043304963
Edgar Recent Filings
13F-HR2026-04-16 · 0001021642-26-000002
13F-HR2026-01-15 · 0001021642-26-000001
Fdic Zip Branches Raw
Comerica BankAvondale, AZ
Comerica BankAvondale, AZ
Fdic Zip HHI
3379.21
Fdic Zip Top Bank Share Pct
40
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI63,229
Returns4,580
Stub 2
AGI189,007
Returns5,070
Stub 3
AGI200,138
Returns3,260
Soi Zip Total Business Income
32,159
Soi Zip Total Cap Gains
14,803
Soi Zip Total Dividends
3,877
Soi Zip Total Returns
18,010
Top Owner CRD
863761
Trust Company Affiliate
No

People (4)

4
BRUCE EDWARD VENTIMIGLIA
Direct Owner · 87.5%
863761
STEPHEN VENTIMIGLIA
Direct Owner · 7.5%
1578599
KANE, SCOTT, CHRISTOPHER
Direct Owner · 7.5%
1554214
VENTIMIGLIA, JONATHAN, WILLIAM
IAR · Executive Officer · 2.5%
5698483