DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S••••••• C•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 7, 2012 · 20 filings
SEC status approved since May 23, 1994
RAUM
$139M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$139M as of Mar 30, 2026
Mar 28, 2012$222M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 28, 20120 then
Employees (5.A)4 as of Mar 30, 2026
Mar 21, 20136 then
Private funds: no history
RAUM -7.2% over the last fiscal year+0.4% a year over threeIARs 0 to 1offices 0 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $139MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for investment companies, pension consulting, selection of other advisers, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$139M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• W•••••• V••••••••• | Aliso Viejo, Ca | Mar 31, 2026 | 17 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••••••• B••••• E••••• · Managing Director, Membercontrolsince 07/2002 · owns 75% or more
- V••••••••• J•••••••• W•••••• · Chief Financial Officer/Chief Compliance Officercontrolsince 07/2009 · owns less than 5%
- V••••••••• S•••••• · Manager, Membercontrolsince 07/2002 · owns 5% to 10%
- K•••• S••••• C••••••••• · Membersince 07/2002 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 30, 2026financial planning (Item 5.G.1): no on the filing of 2025-03-25, yes on the filing of 2026-03-30peers: asset managers, $100M to $500M (1,567)
- business activity changedChange between filings · filing Mar 30, 2026pension consulting (Item 5.G.6): no on the filing of 2025-03-25, yes on the filing of 2026-03-30peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Advisory activities · 3 to 6Mar 25, 2025 to Mar 30, 2026
- Financial planning clients · to 0Mar 25, 2025 to Mar 30, 2026
- State-registered IARs · 0 to 1Mar 25, 2025 to Mar 30, 2026
- Other offices · 0 to 2Mar 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $150M to $139MMar 25, 2025 to Mar 30, 2026
- RAUM · $150M to $139MMar 25, 2025 to Mar 30, 2026
- Business name · S••••••• C•••••• M••••••••• to S••••••• C•••••• M••••••••• L••Mar 26, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 25, 2025
- State-registered IARs · 1 to 0Mar 26, 2024 to Mar 25, 2025
- Legal name · S••••••• C•••••• M••••••••• to S••••••• C•••••• M••••••••• L••Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $162M to $150MMar 26, 2024 to Mar 25, 2025
- RAUM · $162M to $150MMar 26, 2024 to Mar 25, 2025
- State-registered IARs · 2 to 1Mar 23, 2023 to Mar 26, 2024
- Discretionary RAUM · $137M to $162MMar 23, 2023 to Mar 26, 2024
- RAUM · $137M to $162MMar 23, 2023 to Mar 26, 2024
- Employees · 6 to 4Aug 3, 2022 to Mar 23, 2023
- Discretionary RAUM · $167M to $137MAug 3, 2022 to Mar 23, 2023
- RAUM · $167M to $137MAug 3, 2022 to Mar 23, 2023
- HQ city · GOODYEAR to AVONDALEMar 24, 2022 to Aug 3, 2022
- BD registered reps · 1 to 0Mar 16, 2021 to Mar 24, 2022
- Discretionary RAUM · $1.3B to $167MMar 16, 2021 to Mar 24, 2022
- RAUM · $1.3B to $167MMar 16, 2021 to Mar 24, 2022
- Advisory activities · 4 to 3Mar 24, 2020 to Mar 16, 2021
- BD registered reps · 2 to 1Mar 24, 2020 to Mar 16, 2021
- Employees · 8 to 6Mar 24, 2020 to Mar 16, 2021
- Discretionary RAUM · $1.0B to $1.3BMar 24, 2020 to Mar 16, 2021
- RAUM · $1.0B to $1.3BMar 24, 2020 to Mar 16, 2021
- BD registered reps · 1 to 2Mar 19, 2019 to Mar 24, 2020
- Employees · 7 to 8Mar 19, 2019 to Mar 24, 2020
- Discretionary RAUM · $1.2B to $1.0BMar 19, 2019 to Mar 24, 2020
- RAUM · $1.2B to $1.0BMar 19, 2019 to Mar 24, 2020
- Discretionary RAUM · $904M to $1.2BMar 23, 2018 to Mar 19, 2019
- RAUM · $904M to $1.2BMar 23, 2018 to Mar 19, 2019
- Employees · 6 to 7Jan 2, 2018 to Mar 23, 2018
- Discretionary RAUM · $828M to $904MJan 2, 2018 to Mar 23, 2018
- RAUM · $828M to $904MJan 2, 2018 to Mar 23, 2018
- Advisory employees · 2 to 3Mar 23, 2017 to Jan 2, 2018
- Employees · 7 to 6Mar 23, 2017 to Jan 2, 2018
- Other offices · unset to 0.0Mar 23, 2017 to Jan 2, 2018
- Discretionary RAUM · $682M to $828MMar 23, 2017 to Jan 2, 2018
Signals
3 dated events
- S••••••• C•••••• M••••••••• L•• reported RAUM $167.0M, down 88% from $1.3B (2021-03-16 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- S••••••• C•••••• M••••••••• L•• reported RAUM $1.3B, up 29% from $1.0B (2020-03-24 to 2021-03-16)Mar 16, 2021 · RAUM change · derived
- S••••••• C•••••• M••••••••• L•• reported RAUM $1.2B, up 36% from $904.1M (2018-03-23 to 2019-03-19)Mar 19, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/saratoga-capital-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 623-266-4567reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026