{"url":"https://nivawealth.com/firms/saratoga-capital-management-112021","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/112021","regulatoryAum":138830486,"crd":"112021","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5698483","suffix":null,"lastName":"VENTIMIGLIA","firstName":"JONATHAN","middleName":"WILLIAM"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-16","regulatoryAum":1337841697,"clients":1,"employees":6,"offices":1},{"filedOn":"2022-03-24","regulatoryAum":167023425,"clients":1,"employees":6,"offices":1},{"filedOn":"2023-03-23","regulatoryAum":137133405,"clients":1,"employees":4,"offices":1},{"filedOn":"2024-03-26","regulatoryAum":161541181,"clients":1,"employees":4,"offices":1},{"filedOn":"2025-03-25","regulatoryAum":149556125,"clients":1,"employees":4,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":138830486,"clients":1,"employees":4,"offices":3}],"secFileNumber":"801-46534","legalName":"Saratoga Capital Management, LLC","displayName":"Saratoga Capital Management","slug":"saratoga-capital-management-112021","website":"https://saratogacapitalmanagement.com/","classification":{"segment":"registered_funds","segmentLabel":"Fund management","type":"fund_manager","typeLabel":"Mutual funds & ETFs","feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/saratoga-capital-management-llc","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"12725 W Indian School Road, Suite E-101","city":"Avondale","state":"AZ","stateName":"Arizona","country":"United States","postalCode":"85392"},"tradeNames":[],"registration":{"secApproved":"23 May 1994","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":4,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":138830486,"discretionary":138830486,"discretionaryAccounts":1,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":1,"regulatoryAum":138830486}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Saratoga Capital Management does not have custody of client assets.","leadership":[{"name":"Jonathan Ventimiglia","title":"President, CFO, CCO","crd":"5698483"},{"name":"Scott Kane","title":"Member","crd":"1554214"},{"name":"Bruce Ventimiglia","title":"Managing Director, Member","crd":"863761"},{"name":"Stephen Ventimiglia","title":"Manager, Member","crd":"1578599"}],"ownership":[{"label":"Bruce Ventimiglia","detail":"Managing director, member in the 75% or more ownership band and a control person, since July 2002."},{"label":"Stephen Ventimiglia","detail":"Manager, member in the 5% to 10% ownership band and a control person, since July 2002."},{"label":"Scott Kane","detail":"Member in the 5% to 10% ownership band, since July 2002."}],"filedOffices":{"otherThanPrincipal":2,"privateResidences":2},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Arizona","offices":1,"addresses":[{"street":"12725 W Indian School Road, Suite E-101","city":"Avondale","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"623-266-4567","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Pension consulting services","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"0","assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/112021/PDF/112021.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Saratoga Capital Management have?","answer":"Saratoga Capital Management has 1 client and manages $139 million for them, as of March 2026. They include 1 investment company.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Saratoga Capital Management offer?","answer":"Saratoga Capital Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for investment companies, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Saratoga Capital Management have?","answer":"Saratoga Capital Management has 1 investment adviser representative registered with state securities authorities, out of 4 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Saratoga Capital Management?","answer":"Saratoga Capital Management’s direct owners are Bruce Ventimiglia (75% or more), Stephen Ventimiglia (5% to 10%) and Scott Kane (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Saratoga Capital Management get paid?","answer":"Saratoga Capital Management is paid through a percentage of assets under management, fixed fees and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Saratoga Capital Management registered with the SEC?","answer":"Yes, Saratoga Capital Management has been registered with the SEC as an investment adviser since 23 May 1994. Its CRD number is 112021 and its SEC file number is 801-46534.","source":"Form ADV Part 1A, Item 1, filed 30 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Saratoga Capital Management?","answer":"Saratoga Capital Management’s main office is at 12725 W Indian School Road, Suite E-101, Avondale, AZ 85392. Its phone number is 623-266-4567. Its website is saratogacapitalmanagement.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}