# Saratoga Investment Solutions Inc.

> Saratoga Investment Solutions Inc. is a state-registered investment advisory firm in Saratoga Springs, NY, registered since 2003, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated June 29, 2026.

- CRD: 124949
- Filed as: SARATOGA INVESTMENT SOLUTIONS INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Saratoga Springs, NY
- Filing period: October 2026
- Form ADV filing dated: June 29, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/124949
- AdvisorCensus page: https://advisorcensus.com/firm/saratoga-investment-solutions-inc-saratoga-springs-ny-124949

## Quick answers

**How is Saratoga Investment Solutions Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Saratoga Investment Solutions Inc. reports these compensation arrangements: hourly charges; fixed fees (other than subscription fees).

**Where is Saratoga Investment Solutions Inc. located?**
Saratoga Investment Solutions Inc.'s principal office is in Saratoga Springs, NY, according to its Form ADV.

**Is Saratoga Investment Solutions Inc. registered with the SEC or a state?**
Saratoga Investment Solutions Inc. is a state-registered investment advisory firm, registered since 2003. Status as filed: APPROVED. CRD 124949.

**How much does Saratoga Investment Solutions Inc. manage?**
Saratoga Investment Solutions Inc. reports $48,722,000 in regulatory assets under management in its Form ADV filing dated June 29, 2026 (0% discretionary).

**What types of clients does Saratoga Investment Solutions Inc. serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (26); individuals (other than high net worth individuals) (12).

**Does Saratoga Investment Solutions Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/124949

## From the Form ADV filing

### Compensation (Item 5.E)
- Hourly charges
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $48,722,000
- Discretionary: $0
- Non-discretionary: $48,722,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 12 | $2,622,000 |
| High net worth individuals | 26 | $46,100,000 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2003 (23 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- saratogainvestmentsolutions.com
- Facebook @Saratoga-Investment-Solutions-Inc-563070047074305

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Saratoga Investment Solutions Inc. (CRD 124949): Form ADV filing data as of October 2026.