SARATOGA INVESTMENT CORP. - SAR
Detailed investor-level table based on 13F positions.
Early Q1 2026 data: only 1 institutional holders reported so far. The full shareholder list will grow as more funds file with the SEC.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Lido Advisors, LLC | History | Added to | 199,138 | 4,855 | 0.01% | 0.02% | 1 | +1,265 | 0.64% | Q4 2025 | Feb 10, 2026 |
| Private Advisor Group, LLC | History | Added to | 163,359 | 3,768 | 0.02% | 0.02% | 2 | +5,073 | 3.2% | Q4 2025 | Feb 17, 2026 |
| Closed-End Fund Advisors, Inc. | History | New | 159,499 | 3,679 | 2.17% | — | 3 | +159,499 | New | Q4 2025 | Feb 11, 2026 |
| Hennion & Walsh Asset Management, Inc. | History | Reduced | 141,470 | 3,263 | 0.11% | 0.16% | 4 | -38,593 | -21.43% | Q4 2025 | Jan 14, 2026 |
| Legal & General Group Plc | History | Added to | 117,294 | 2,705 | 0.0% | 0.0% | 5 | +23,765 | 25.41% | Q4 2025 | Feb 09, 2026 |
| LPL Financial LLC | History | Added to | 113,727 | 2,623 | 0.0% | 0.0% | 6 | +4,998 | 4.6% | Q4 2025 | Feb 11, 2026 |
| Advisors Asset Management, Inc. | History | Reduced | 101,383 | 2,338 | 0.04% | 0.05% | 7 | -14,258 | -12.33% | Q4 2025 | Feb 12, 2026 |
| BlackRock, Inc. | History | Reduced | 95,197 | 2,196 | 0.0% | 0.0% | 8 | -3,669 | -3.71% | Q4 2025 | Feb 12, 2026 |
| WELLS FARGO & COMPANY/MN | History | Reduced | 82,830 | 1,910 | 0.0% | 0.0% | 9 | -1,269 | -1.51% | Q4 2025 | Feb 13, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Added to | 74,275 | 1,713 | 0.0% | 0.0% | 10 | +12,029 | 19.32% | Q4 2025 | Feb 17, 2026 |
| TWO SIGMA INVESTMENTS, LP | History | Reduced | 67,507 | 1,557 | 0.0% | 0.0% | 11 | -47,528 | -41.32% | Q4 2025 | Feb 17, 2026 |
| AMERIPRISE FINANCIAL INC | History | Reduced | 65,592 | 1,513 | 0.0% | 0.0% | 12 | -5,957 | -8.33% | Q4 2025 | Feb 17, 2026 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | History | Added to | 61,809 | 1,425 | 0.1% | 0.11% | 13 | +9,199 | 17.49% | Q4 2025 | Feb 03, 2026 |
| Ethos Financial Group, LLC | History | Reduced | 52,846 | 1,219 | 0.09% | 0.1% | 14 | -987 | -1.83% | Q4 2025 | Jan 20, 2026 |
| Wealthcare Advisory Partners LLC | History | Added to | 49,471 | 1,141 | 0.02% | 0.02% | 15 | +4,791 | 10.72% | Q4 2025 | Jan 14, 2026 |
| Palogic Value Management, L.P. | History | No change | 46,680 | 1,076 | 0.45% | 0.46% | 16 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| Next Level Private LLC | History | No change | 43,527 | 1,004 | 0.26% | 0.31% | 17 | 0 | 0.0% | Q4 2025 | Jan 07, 2026 |
| CITADEL ADVISORS LLC | History | Reduced | 40,360 | 931 | 0.0% | 0.0% | 18 | -2,140 | -5.04% | Q4 2025 | Feb 17, 2026 |
| JB CAPITAL PARTNERS LP | History | No change | 33,847 | 780 | 0.13% | 0.14% | 19 | 0 | 0.0% | Q4 2025 | Feb 13, 2026 |
| Virtus Investment Advisers, LLC | History | Reduced | 32,641 | 753 | 0.2% | 0.25% | 20 | -3,644 | -10.04% | Q4 2025 | Feb 17, 2026 |
| MORGAN STANLEY | History | Reduced | 30,338 | 699 | 0.0% | 0.0% | 21 | -46,695 | -60.62% | Q4 2025 | Feb 13, 2026 |
| BI Asset Management Fondsmaeglerselskab A/S | History | Reduced | 27,027 | 624 | 0.01% | 0.01% | 22 | -23,205 | -46.2% | Q4 2025 | Feb 11, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | Added to | 25,666 | 592 | 0.0% | 0.0% | 23 | +2,594 | 11.24% | Q4 2025 | Feb 18, 2026 |
| Focus Partners Wealth | History | New | 25,600 | 590 | 0.0% | — | 24 | +25,600 | New | Q4 2025 | Feb 13, 2026 |
| Cetera Investment Advisers | History | Added to | 21,825 | 503 | 0.0% | 0.0% | 25 | +1,807 | 9.03% | Q4 2025 | Feb 17, 2026 |
| PFG Advisors | History | Reduced | 21,697 | 500 | 0.02% | 0.02% | 26 | -220 | -1.0% | Q4 2025 | Jan 27, 2026 |
| Focus Financial Network, Inc. | History | Added to | 19,455 | 448 | 0.02% | 0.01% | 27 | +3,800 | 24.27% | Q4 2025 | Jan 12, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Reduced | 18,950 | 437 | 0.0% | 0.0% | 28 | -8,164 | -30.11% | Q4 2025 | Feb 05, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Reduced | 18,637 | 429 | 0.0% | 0.0% | 29 | -6,561 | -26.04% | Q4 2025 | Feb 12, 2026 |
| OSAIC HOLDINGS, INC. | History | Added to | 18,403 | 424 | 0.0% | 0.0% | 30 | +11,787 | 178.16% | Q4 2025 | Feb 17, 2026 |
| D.A. DAVIDSON & CO. | History | Reduced | 18,194 | 419 | 0.0% | 0.0% | 31 | -13,258 | -42.15% | Q4 2025 | Jan 29, 2026 |
| ROYAL BANK OF CANADA | History | New | 17,393 | 401 | 0.0% | — | 32 | +17,393 | New | Q4 2025 | Feb 17, 2026 |
| Trexquant Investment LP | History | Reduced | 16,827 | 388 | 0.0% | 0.01% | 33 | -34,935 | -67.49% | Q4 2025 | Feb 17, 2026 |
| Sunbelt Securities, Inc. | History | Added to | 13,726 | 316 | 0.02% | 0.02% | 34 | +344 | 2.57% | Q4 2025 | Feb 20, 2026 |
| JANE STREET GROUP, LLC | History | New | 13,500 | 311 | 0.0% | — | 35 | +13,500 | New | Q4 2025 | Feb 12, 2026 |
| Dynamic Technology Lab Private Ltd | History | New | 13,214 | 305 | 0.07% | — | 36 | +13,214 | New | Q4 2025 | Feb 13, 2026 |
| UBS Group AG | History | Added to | 13,024 | 300 | 0.0% | 0.0% | 37 | +12,064 | 1256.67% | Q4 2025 | Jan 29, 2026 |
| Aquatic Capital Management LLC | History | Reduced | 12,101 | 279 | 0.01% | 0.01% | 38 | -628 | -4.93% | Q4 2025 | Feb 17, 2026 |
| Brevan Howard Capital Management LP | History | Reduced | 11,419 | 263 | 0.0% | 0.0% | 39 | -6,256 | -35.39% | Q4 2025 | Feb 17, 2026 |
| TWO SIGMA ADVISERS, LP | History | Reduced | 11,000 | 253 | 0.0% | 0.0% | 41 | -89,647 | -89.07% | Q4 2025 | Feb 17, 2026 |
| DAVIDSON TRUST CO | History | No change | 11,000 | 253 | 0.11% | 0.11% | 40 | 0 | 0.0% | Q4 2025 | Jan 27, 2026 |
| WEDBUSH SECURITIES INC | History | No change | 10,700 | 247 | 0.01% | 0.01% | 42 | 0 | 0.0% | Q4 2025 | Feb 12, 2026 |
| HighTower Advisors, LLC | History | Reduced | 10,213 | 235 | 0.0% | 0.0% | 43 | -647 | -5.96% | Q4 2025 | Feb 06, 2026 |
| JPMORGAN CHASE & CO | History | Reduced | 7,021 | 161 | 0.0% | 0.0% | 44 | -104 | -1.46% | Q4 2025 | Feb 11, 2026 |
| HARBOUR INVESTMENTS, INC. | History | Added to | 5,973 | 137 | 0.0% | 0.0% | 45 | +3,000 | 100.91% | Q4 2025 | Feb 09, 2026 |
| Register Financial Advisors LLC | History | Added to | 5,980 | 137 | 0.05% | 0.06% | 46 | +29 | 0.49% | Q4 2025 | Jan 21, 2026 |
| Steward Partners Investment Advisory, LLC | History | Added to | 5,212 | 120 | 0.0% | 0.0% | 47 | +4,478 | 610.08% | Q4 2025 | Feb 12, 2026 |
| SIMPLEX TRADING, LLC | History | Added to | 4,264 | 98 | 0.0% | 0.0% | 48 | +1,435 | 50.72% | Q4 2025 | Feb 11, 2026 |
| Daytona Street Capital LLC | History | New | 1,999 | 50 | 0.04% | — | 49 | +1,999 | New | Q4 2025 | Jan 21, 2026 |
| BARTLETT & CO. WEALTH MANAGEMENT LLC | History | No change | 2,000 | 46 | 0.0% | 0.0% | 50 | 0 | 0.0% | Q4 2025 | Jan 22, 2026 |
| Kestra Advisory Services, LLC | History | New | 1,987 | 45 | 0.0% | — | 51 | +1,987 | New | Q4 2025 | Feb 13, 2026 |
| NBC SECURITIES, INC. | History | No change | 1,680 | 41 | 0.0% | 0.0% | 52 | 0 | 0.0% | Q4 2025 | Jan 29, 2026 |
| BANK OF AMERICA CORP /DE/ | History | Added to | 1,068 | 24 | 0.0% | 0.0% | 53 | +368 | 52.57% | Q4 2025 | Feb 17, 2026 |
| IFP Advisors, Inc | History | No change | 1,000 | 23 | 0.0% | 0.0% | 54 | 0 | 0.0% | Q4 2025 | Feb 06, 2026 |
| EVOLUTION WEALTH MANAGEMENT INC. | History | Added to | 701 | 16 | 0.01% | 0.02% | 55 | +50 | 7.68% | Q4 2025 | Feb 10, 2026 |
| BNP PARIBAS FINANCIAL MARKETS | History | Reduced | 684 | 15 | 0.0% | 0.0% | 56 | -322 | -32.01% | Q4 2025 | Feb 10, 2026 |
| State of Alaska, Department of Revenue | History | No change | 630 | 14 | 0.0% | 0.0% | 57 | 0 | 0.0% | Q4 2025 | Jan 23, 2026 |
| Russell Investments Group, Ltd. | History | Added to | 480 | 11 | 0.0% | 0.0% | 59 | +320 | 200.0% | Q4 2025 | Feb 17, 2026 |
| CIBC Private Wealth Group LLC | History | No change | 500 | 11 | 0.0% | 0.0% | 58 | 0 | 0.0% | Q4 2025 | Feb 12, 2026 |
| PFS Partners, LLC | History | No change | 503 | 11 | 0.01% | 0.01% | 60 | 0 | 0.0% | Q4 2025 | Jan 16, 2026 |
| FLAGSHIP HARBOR ADVISORS, LLC | History | New | 443 | 10 | 0.0% | — | 61 | +443 | New | Q4 2025 | Jan 21, 2026 |
| EASTERN BANK | History | No change | 400 | 9 | 0.0% | 0.0% | 62 | 0 | 0.0% | Q4 2025 | Jan 14, 2026 |
| Harbor Asset Planning, Inc. | History | No change | 261 | 6 | 0.01% | 0.01% | 63 | 0 | 0.0% | Q4 2025 | Jan 26, 2026 |
| Laurel Wealth Advisors LLC | History | New | 241 | 5 | 0.0% | — | 65 | +241 | New | Q4 2025 | Jan 30, 2026 |
| Triumph Capital Management | History | New | 225 | 5 | 0.0% | — | 64 | +225 | New | Q4 2025 | Feb 12, 2026 |
| Avion Wealth | History | New | 204 | 4 | 0.0% | — | 66 | +204 | New | Q4 2025 | Jan 23, 2026 |
| MAI Capital Management | History | No change | 125 | 2 | 0.0% | 0.0% | 67 | 0 | 0.0% | Q4 2025 | Feb 13, 2026 |
| Strategic Investment Solutions, Inc. /IL | History | No change | 100 | 2 | 0.0% | 0.0% | 68 | 0 | 0.0% | Q4 2025 | Feb 27, 2026 |
| MJT & Associates Financial Advisory Group, Inc. | History | No change | 94 | 2 | 0.0% | 0.0% | 69 | 0 | 0.0% | Q4 2025 | Feb 10, 2026 |
| Larson Financial Group LLC | History | New | 49 | 1 | 0.0% | — | 70 | +49 | New | Q4 2025 | Feb 06, 2026 |
| West Financial Advisors, LLC | History | Added to | 54 | 1 | 0.0% | 0.0% | 71 | +2 | 3.85% | Q4 2025 | Jan 13, 2026 |
| Redhawk Wealth Advisors, Inc. | History | Closed out | 0 | 0 | — | 0.11% | — | -40,356 | -100.0% | Q3 2025 | Oct 09, 2025 |
| Curi Capital, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -30,000 | -100.0% | Q3 2025 | Nov 13, 2025 |
| Kovitz Investment Group Partners, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -17,813 | -100.0% | Q3 2025 | Nov 10, 2025 |
| MARSHALL WACE, LLP | History | Closed out | 0 | 0 | — | 0.0% | — | -16,631 | -100.0% | Q3 2025 | Nov 13, 2025 |
| BARD ASSOCIATES INC | History | Closed out | 0 | 0 | — | 0.09% | — | -14,256 | -100.0% | Q3 2025 | Nov 14, 2025 |
| VestGen Advisors, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -12,759 | -100.0% | Q3 2025 | Nov 14, 2025 |
| Advisory Services Network, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -1,841 | -100.0% | Q3 2025 | Nov 18, 2025 |
| Quantbot Technologies LP | History | Closed out | 0 | 0 | — | 0.0% | — | -1,464 | -100.0% | Q3 2025 | Nov 12, 2025 |
| HANTZ FINANCIAL SERVICES, INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -75 | -100.0% | Q3 2025 | Nov 05, 2025 |
| FMR LLC | History | Closed out | 0 | 0 | — | — | — | -1 | -100.0% | Q3 2025 | Nov 13, 2025 |
| Hurley Capital, LLC | History | No change | 14 | 0 | — | — | — | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| Blue Trust, Inc. | History | No change | 20 | 0 | — | — | — | 0 | 0.0% | Q4 2025 | Jan 16, 2026 |