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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

SARATOGA CAPITAL MANAGEMENT, LLC

CRD 112021

AVONDALE, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e6b60ba0-373b-db71-a42c-6ef712585aec

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Mar 7, 2012 to Mar 30, 2026
20 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $139MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $139M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $139Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 3
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 1
SEC number: 801-46534
CRD: 112021
Filings on the tape: 20
First filed: Mar 7, 2012
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JONATHAN WILLIAM VENTIMIGLIA	n/a	Aliso Viejo, CA	0	17	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
VENTIMIGLIA, BRUCE, EDWARD	MANAGING DIRECTOR, MEMBER	E	yes	07/2002	Mar 7, 2012	Mar 26, 2024
VENTIMIGLIA, JONATHAN, WILLIAM	CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER	Na	yes	07/2009	Mar 7, 2012	Mar 26, 2024
VENTIMIGLIA, STEPHEN	MANAGER, MEMBER	A	yes	07/2002	Mar 7, 2012	Mar 26, 2024
KANE, SCOTT, CHRISTOPHER	Member	A	no	07/2002	Mar 7, 2012	Mar 26, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$139M	$139M	4	3	2	n/a	n/a
2024	Mar 25, 2025	$150M	$150M	4	3	0	n/a	n/a
2023	Mar 26, 2024	$162M	$162M	4	3	0	n/a	n/a
2022	Mar 23, 2023	$137M	$137M	4	3	0	n/a	n/a
2021	Mar 24, 2022	$167M	$167M	6	3	0	n/a	n/a
2020	Mar 16, 2021	$1.3B	$1.3B	6	3	0	n/a	n/a
2019	Mar 24, 2020	$1.0B	$1.0B	8	3	0	n/a	n/a
2018	Mar 19, 2019	$1.2B	$1.2B	7	3	0	n/a	n/a
2017	Mar 23, 2018	$904M	$904M	7	3	0	n/a	n/a
2016	Mar 23, 2017	$682M	$682M	7	2	n/a	n/a	n/a
2015	Mar 24, 2016	$608M	$608M	9	2	n/a	n/a	n/a
2014	Mar 27, 2015	$612M	$612M	9	2	n/a	n/a	n/a
2013	Mar 25, 2014	$477M	$477M	9	2	n/a	n/a	n/a
2012	Mar 21, 2013	$316M	$316M	6	2	n/a	n/a	n/a
2011	Mar 28, 2012	$222M	$222M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$139M	$150M	-7.2%	$137M	0.4%	4	4	2	0

Relationships

Registered with (1)

← JONATHAN WILLIAM VENTIMIGLIAAdvisorregistration: current employment
Mar 31, 2026 to presentfactForm ADV

Owns (1)

← KANE, SCOTT, CHRISTOPHEROwnerMEMBER, ownership code A, individual
Mar 7, 2012 to Mar 26, 2024factForm ADV

Controls (3)

← VENTIMIGLIA, STEPHENOwnerMANAGER, MEMBER, ownership code A, individual
Mar 7, 2012 to Mar 26, 2024factForm ADV
← VENTIMIGLIA, JONATHAN, WILLIAMOwnerCHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 7, 2012 to Mar 26, 2024factForm ADV
← VENTIMIGLIA, BRUCE, EDWARDOwnerMANAGING DIRECTOR, MEMBER, ownership code E, individual
Mar 7, 2012 to Mar 26, 2024factForm ADV

Dated events

Occurred
Mar 24, 2022
Regulatory AUM changed
Saratoga Capital Management, Llc reported RAUM $167.0M, down 88% from $1.3B (2021-03-16 to 2022-03-24)
Form ADVobserved 4 days ago
$-1.2B
Occurred
Mar 16, 2021
Regulatory AUM changed
Saratoga Capital Management, Llc reported RAUM $1.3B, up 29% from $1.0B (2020-03-24 to 2021-03-16)
Form ADVobserved 4 days ago
$302M
Occurred
Mar 19, 2019
Regulatory AUM changed
Saratoga Capital Management, Llc reported RAUM $1.2B, up 36% from $904.1M (2018-03-23 to 2019-03-19)
Form ADVobserved 4 days ago
$323M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e6b60ba0-373b-db71-a42c-6ef712585aec
First observed: Mar 7, 2012
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SARATOGA CAPITAL MANAGEMENT, LLC

CRD 112021

AVONDALE, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e6b60ba0-373b-db71-a42c-6ef712585aec

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:27 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JONATHAN WILLIAM VENTIMIGLIA

n/a

Aliso Viejo, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

VENTIMIGLIA, BRUCE, EDWARD

MANAGING DIRECTOR, MEMBER

yes

07/2002

Mar 7, 2012

Mar 26, 2024

VENTIMIGLIA, JONATHAN, WILLIAM

CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER

yes

07/2009

Mar 7, 2012

Mar 26, 2024

VENTIMIGLIA, STEPHEN

MANAGER, MEMBER

yes

07/2002

Mar 7, 2012

Mar 26, 2024

KANE, SCOTT, CHRISTOPHER

Member

07/2002

Mar 7, 2012

Mar 26, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$139M

n/a

2024

Mar 25, 2025

$150M

n/a

2023

Mar 26, 2024

$162M

n/a

2022

Mar 23, 2023

$137M

n/a

2021

Mar 24, 2022

$167M

n/a

2020

Mar 16, 2021

$1.3B

n/a

2019

Mar 24, 2020

$1.0B

n/a

2018

Mar 19, 2019

$1.2B

n/a

2017

Mar 23, 2018

$904M

n/a

2016

Mar 23, 2017

$682M

n/a

2015

Mar 24, 2016

$608M

n/a

2014

Mar 27, 2015

$612M

n/a

2013

Mar 25, 2014

$477M

n/a

2012

Mar 21, 2013

$316M

n/a

2011

Mar 28, 2012

$222M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$139M

$150M

-7.2%

$137M

0.4%