SARATOGA RESEARCH & INVESTMENT MANAGEMENT
CRD #110506 SEC #801-57695 SARATOGA, CA (408) 741-2330
SEC Registered
Total AUM
$2.5B
Discretionary
$2.5B
Employees
22
Clients
10
Accounts
3,016
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 11, 2025
- Branch Offices
- 4
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| BRAGA, AILEEN, KAY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | NA | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HEDGES, MADELINE, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HEDGES, MADELINE, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HEDGES, MADELINE, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HEDGES, MADELINE, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HEDGES, MADELINE, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HEDGES, MADELINE, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HEDGES, MADELINE, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HEDGES, MADELINE, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HEDGES, MADELINE, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HEDGES, MADELINE, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HEDGES, MADELINE, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HEDGES, MADELINE, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HEDGES, MADELINE, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HEDGES, MADELINE, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| Hanson, Travis, Osborn | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Hanson, Travis, Osborn | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Hanson, Travis, Osborn | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Hanson, Travis, Osborn | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Hanson, Travis, Osborn | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Hanson, Travis, Osborn | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO/CCO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO/CHIEF COMPLIANCE OFFICER | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO/CCO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO/CCO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO/CHIEF COMPLIANCE OFFICER | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO/CHIEF COMPLIANCE OFFICER | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO/CCO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | PRESIDENT/CFO | E | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | D | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | C | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | C | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | C | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | C | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | C | Control |
| TANNER, KEVIN, PETER | I | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | C | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | A | Control |
| CROSBY, MARC, COOK | I | PRESIDENT | A | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | A | Control |
| HANSON, TRAVIS, OSBORN | I | CHIEF FINANCIAL OFFICER | A | Control |
| SPENCER, PHILIP, ALBERT | I | DIRECTOR OF RESEARCH | A | |
| SPENCER, PHILIP, ALBERT | I | DIRECTOR OF RESEARCH | A | |
| TANNER, JAMES, HAROLD | I | DIRECTOR OF OPERATIONS | A | |
| TANNER, JAMES, HAROLD | I | DIRECTOR OF OPERATIONS | A | |
| TANNER, JAMES, HAROLD | I | DIRECTOR OF OPERATIONS | A | |
| TANNER, JAMES, HAROLD | I | DIRECTOR OF OPERATIONS | A | |
| TANNER, JAMES, HAROLD | I | DIRECTOR OF OPERATIONS | A | |
| TANNER, JAMES, HAROLD | I | DIRECTOR OF OPERATIONS | A | |
| TANNER, JAMES, HAROLD | I | DIRECTOR OF OPERATIONS | A | |
| TANNER, JAMES, HAROLD | I | DIRECTOR OF OPERATIONS | A |
Registrations
Federal
IA
Apr 11, 2025 REGISTERED
Notice Filings (39)
AL AZ CA CO CT FL GA HI ID IL IN LA MA MD MI MN MO MS MT NC NH NJ NM NV NY OH OK OR PA SC SD TN TX UT VA VT WA WI WV
Address
14471 BIG BASIN WAY, SUITE ESARATOGA, CA 95070
United States
Phone: (408) 741-2330