Saratoga Investment Corp.
SAR- Exchange
- NYSE
- SEC CIK
- 0001377936
No open-market purchases or sales by Saratoga Investment Corp. insiders were filed in the last 90 days; 58 institutions reported holding it in 13F filings for Q2 2026, worth $41.7M in total; no superinvestor holds it.
13F holders, Q4 2021
Institutional positions in Saratoga Investment Corp. as of Dec 31, 2021. Investment managers with $100 million or more in US stocks report their long positions on Form 13F within 45 days after each quarter ends. How 13F works
- Institutional holders
- 63
- +10 vs. Q3 2021
- Shares held
- 2.55M
- +1.28M (+100.8%) vs. Q3 2021
- Total value
- $74.9M
- +$38.4M (+105.1%) vs. Q3 2021
- New holders
- 19
- 19 more added
- Sold out
- 9
- 12 more reduced
Compare with Q3 2021: new holders, sold out and not filed yet
Holders and value by quarter
Institutions reporting SAR on Form 13F each quarter since Q1 2021, and the total value they reported. Values are as of each quarter end, so they also move with the share price.
| Quarter | Holders | Value |
|---|---|---|
| Q2 2026 | 58 | $41.7M |
| Q1 2026 | 63 | $42.2M |
| Q4 2025 | 71 | $48.4M |
| Q3 2025 | 71 | $55.1M |
| Q2 2025 | 65 | $57.9M |
| Q1 2025 | 67 | $63.9M |
| Q4 2024 | 67 | $52.9M |
| Q3 2024 | 57 | $51.4M |
| Q2 2024 | 58 | $45.7M |
| Q1 2024 | 61 | $48.7M |
| Q4 2023 | 71 | $65.6M |
| Q3 2023 | 65 | $60.8M |
| Q2 2023 | 67 | $47.8M |
| Q1 2023 | 58 | $47.1M |
| Q4 2022 | 52 | $56.9M |
| Q3 2022 | 48 | $48.6M |
| Q2 2022 | 54 | $57.3M |
| Q1 2022 | 57 | $63.9M |
| Q4 2021 | 63 | $74.9M |
| Q3 2021 | 53 | $36.5M |
| Q2 2021 | 47 | $31.6M |
| Q1 2021 | 47 | $32.1M |
Institutions, Q4 2021
Shares, value and share of portfolio for each institution holding Saratoga Investment Corp.; share changes are against Q3 2021.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| Center for Financial Planning, Inc. | 2 | $0 | 0.00% | 00.0% | Unchanged |
| Lee Financial Co | 15 | $0 | 0.00% | +15 | New |
| Financial Management Professionals, Inc. | 181 | $5.00K | 0.00% | 00.0% | Unchanged |
| Aquatic Capital Management LLC | 200 | $6.00K | 0.01% | +200 | New |
| Laurel Wealth Advisors LLC | 241 | $7.00K | 0.00% | 00.0% | Unchanged |
| Carmichael Hill & Associates, Inc. | 315 | $9.00K | 0.00% | +100+46.5% | Added |
| Vectors Research Management, LLC | 300 | $9.00K | 0.00% | +300 | New |
| Credit Agricole S A | 350 | $10.0K | 0.00% | +350 | New |
| PFS Partners, LLC | 503 | $14.8K | 0.01% | +503 | New |
| National Bank of Canada | 500 | $15.0K | 0.00% | +500 | New |
| Mark Sheptoff Financial Planning, LLC | 700 | $21.0K | 0.01% | 00.0% | Unchanged |
| Steward Partners Investment Advisory, LLC | 734 | $22.0K | 0.00% | 00.0% | Unchanged |
| Chilton Capital Management LLC | 840 | $25.0K | 0.00% | +840 | New |
| American Portfolios Advisors | 880 | $25.9K | 0.00% | 00.0% | Unchanged |
| Cullen/Frost Bankers, Inc. | 1,357 | $40.0K | 0.00% | 00.0% | Unchanged |
| Tradition Wealth Management, LLC | 1,380 | $41.0K | 0.01% | 00.0% | Unchanged |
| Geneos Wealth Management Inc. | 1,756 | $51.0K | 0.00% | +1,375+360.9% | Added |
| Confluence Wealth Services, Inc. | 3,000 | $88.0K | 0.03% | +3,000 | New |
| UBS Group AG | 4,027 | $118.0K | 0.00% | +150+3.9% | Added |
| Financial Advocates Investment Management | 7,206 | $212.0K | 0.02% | +7,206 | New |
| TAP Consulting, LLC | 8,008 | $235.0K | 0.05% | 00.0% | Unchanged |
| Jump Financial, LLC | 8,800 | $259.0K | 0.02% | +8,800 | New |
| First Republic Investment Management, Inc. | 8,975 | $264.0K | 0.00% | +475+5.6% | Added |
| Ahrens Investment Partners LLC | 9,710 | $285.0K | 0.13% | −1,200−11.0% | Reduced |
| Commonwealth Equity Services, LLC | 9,880 | $290.0K | 0.00% | +100+1.0% | Added |
| All Season Financial Advisors, Inc. | 11,301 | $332.0K | 0.23% | +11,301 | New |
| National Asset Management, Inc. | 12,115 | $356.0K | 0.01% | +17+0.1% | Added |
| Northern Trust Corp | 12,498 | $367.0K | 0.00% | −99−0.8% | Reduced |
| Davidson Trust Co | 13,000 | $382.0K | 0.26% | 00.0% | Unchanged |
| Virtus ETF Advisers LLC | 14,147 | $416.0K | 0.16% | −2,436−14.7% | Reduced |
| Private Advisor Group, LLC | 14,400 | $423.0K | 0.00% | 00.0% | Unchanged |
| Bard Associates Inc | 15,705 | $461.0K | 0.15% | +4,610+41.6% | Added |
| Rockefeller Capital Management L.P. | 16,747 | $492.0K | 0.00% | +14,501+645.6% | Added |
| Chicago Partners Investment Group LLC | 21,090 | $567.0K | 0.04% | +13,010+161.0% | Added |
| Royal Bank of Canada | 19,575 | $575.0K | 0.00% | +3,676+23.1% | Added |
| D. E. Shaw & Co., Inc. | 19,747 | $580.0K | 0.00% | +19,747 | New |
| D.A. Davidson & Co. | 21,071 | $619.0K | 0.01% | +4,000+23.4% | Added |
| Chemistry Wealth Management LLC | 21,950 | $645.0K | 0.54% | +21,950 | New |
| Next Level Private LLC | 21,950 | $645.0K | 0.54% | +21,950 | New |
| Putnam Investments LLC | 23,936 | $703.0K | 0.00% | −62,826−72.4% | Reduced |
| RMB Capital Management, LLC | 25,400 | $746.0K | 0.02% | 00.0% | Unchanged |
| Ameriprise Financial Inc | 26,381 | $775.0K | 0.00% | −428−1.6% | Reduced |
| Advisory Research Inc | 26,496 | $778.0K | 0.06% | +6,157+30.3% | Added |
| Morgan Stanley | 27,573 | $810.0K | 0.00% | −3,861−12.3% | Reduced |
| Ares Management LLC | 27,798 | $817.0K | 0.02% | −17,675−38.9% | Reduced |
| Millennium Management LLC | 28,397 | $834.0K | 0.00% | +28,397 | New |
| PFG Advisors | 29,965 | $880.0K | 0.09% | −633−2.1% | Reduced |
| Marshall Wace, LLP | 30,523 | $897.0K | 0.00% | +30,523 | New |
| Citadel Advisors LLC | 32,138 | $944.0K | 0.00% | +32,138 | New |
| JB Capital Partners LP | 33,847 | $994.0K | 0.21% | 00.0% | Unchanged |
| Advisor Group Holdings, Inc. | 41,633 | $1.22M | 0.00% | −266−0.6% | Reduced |
| Mackenzie Financial Corp | 51,253 | $1.51M | 0.00% | +111+0.2% | Added |
| Cerity Partners LLC | 52,046 | $1.53M | 0.02% | −1,039−2.0% | Reduced |
| Legal & General Group Plc | 68,252 | $2.00M | 0.00% | +1,333+2.0% | Added |
| Two Sigma Advisers, LP | 70,200 | $2.06M | 0.01% | +26,700+61.4% | Added |
| Wells Fargo & Company | 73,323 | $2.15M | 0.00% | +5,046+7.4% | Added |
| Raymond James & Associates | 74,643 | $2.19M | 0.00% | −9,802−11.6% | Reduced |
| LPL Financial LLC | 79,813 | $2.35M | 0.00% | +2,875+3.7% | Added |
| Two Sigma Investments, LP | 84,638 | $2.49M | 0.01% | +50,528+148.1% | Added |
| Thomas J. Herzfeld Advisors, Inc. | 100,890 | $2.96M | 1.08% | +100,890 | New |
| Hennion & Walsh Asset Management, Inc. | 120,513 | $3.54M | 0.17% | −7,520−5.9% | Reduced |
| Advisors Asset Management, Inc. | 138,230 | $4.06M | 0.06% | +6,143+4.7% | Added |
| Black Diamond Capital Management, L.L.C. | 978,397 | $28.7M | 15.25% | +978,397 | New |
| Cetera Advisors LLC | 0 | $0 | 0.00% | −7,488−100.0% | Sold out |
| Eagle Global Advisors LLC | 0 | $0 | 0.00% | −7,080−100.0% | Sold out |
| Bank of America Corp | 0 | $0 | 0.00% | −1,725−100.0% | Sold out |
| FNY Investment Advisers, LLC | 0 | $0 | 0.00% | −1,399−100.0% | Sold out |
| Harbour Investments, Inc. | 0 | $0 | 0.00% | −1,000−100.0% | Sold out |
| Tower Research Capital LLC (TRC) | 0 | $0 | 0.00% | −533−100.0% | Sold out |
| Sandy Spring Bank | 0 | $0 | 0.00% | −360−100.0% | Sold out |
| JPMorgan Chase & Co | 0 | $0 | 0.00% | −12−100.0% | Sold out |
| Deutsche Bank AG | 0 | $0 | 0.00% | −12−100.0% | Sold out |