SARATOGA INVESTMENT CORP. - SAR
Detailed investor-level table based on 13F positions.
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 | No change | 199,138 | 4,355 | 0.01% | 0.01% | 1 | 0 | 0.0% | Q1 2026 | May 13, 2026 |
| Private Advisor Group, LLC | History | Added to | 165,139 | 3,611 | 0.02% | 0.02% | 2 | +1,780 | 1.09% | Q1 2026 | Apr 24, 2026 |
| Hennion & Walsh Asset Management, Inc. | History | Reduced | 137,675 | 3,010 | 0.1% | 0.11% | 3 | -3,795 | -2.68% | Q1 2026 | May 13, 2026 |
| Legal & General Group Plc | History | Added to | 122,941 | 2,688 | 0.0% | 0.0% | 4 | +5,647 | 4.81% | Q1 2026 | May 08, 2026 |
| LPL Financial LLC | History | Added to | 113,995 | 2,493 | 0.0% | 0.0% | 5 | +268 | 0.24% | Q1 2026 | May 06, 2026 |
| Advisors Asset Management, Inc. | History | Added to | 106,625 | 2,331 | 0.04% | 0.04% | 6 | +5,242 | 5.17% | Q1 2026 | May 15, 2026 |
| WELLS FARGO & COMPANY/MN | History | Added to | 85,267 | 1,864 | 0.0% | 0.0% | 7 | +2,437 | 2.94% | Q1 2026 | May 11, 2026 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | History | Added to | 82,407 | 1,761 | 0.12% | 0.1% | 8 | +20,598 | 33.33% | Q1 2026 | May 01, 2026 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Reduced | 66,100 | 1,445 | 0.0% | 0.0% | 9 | -8,175 | -11.01% | Q1 2026 | May 15, 2026 |
| CITADEL ADVISORS LLC | History | Added to | 62,603 | 1,369 | 0.0% | 0.0% | 10 | +22,243 | 55.11% | Q1 2026 | May 15, 2026 |
| Ethos Financial Group, LLC | History | No change | 52,846 | 1,219 | 0.09% | 0.09% | 11 | 0 | 0.0% | Q1 2026 | May 05, 2026 |
| TWO SIGMA INVESTMENTS, LP | History | Reduced | 54,746 | 1,197 | 0.0% | 0.0% | 12 | -12,761 | -18.9% | Q1 2026 | May 15, 2026 |
| BlackRock, Inc. | History | Reduced | 54,596 | 1,194 | 0.0% | 0.0% | 13 | -40,601 | -42.65% | Q1 2026 | May 13, 2026 |
| Wealthcare Advisory Partners LLC | History | Added to | 50,573 | 1,106 | 0.02% | 0.02% | 14 | +1,102 | 2.23% | Q1 2026 | Apr 14, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | Added to | 48,454 | 1,059 | 0.0% | 0.0% | 15 | +22,788 | 88.79% | Q1 2026 | May 14, 2026 |
| Palogic Value Management, L.P. | History | No change | 46,680 | 1,020 | 0.43% | 0.45% | 16 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| Next Level Private LLC | History | No change | 43,527 | 951 | 0.21% | 0.26% | 17 | 0 | 0.0% | Q1 2026 | Apr 23, 2026 |
| JB CAPITAL PARTNERS LP | History | No change | 33,847 | 760 | 0.13% | 0.13% | 18 | 0 | 0.0% | Q1 2026 | May 14, 2026 |
| MORGAN STANLEY | History | Reduced | 28,286 | 618 | 0.0% | 0.0% | 19 | -2,052 | -6.76% | Q1 2026 | May 15, 2026 |
| Focus Partners Wealth | History | Added to | 27,709 | 606 | 0.0% | 0.0% | 20 | +2,109 | 8.24% | Q1 2026 | May 14, 2026 |
| UBS Group AG | History | Added to | 27,280 | 596 | 0.0% | 0.0% | 21 | +14,256 | 109.46% | Q1 2026 | May 05, 2026 |
| BI Asset Management Fondsmaeglerselskab A/S | History | No change | 27,027 | 591 | 0.01% | 0.01% | 22 | 0 | 0.0% | Q1 2026 | Apr 16, 2026 |
| Virtus Investment Advisers, LLC | History | Reduced | 25,752 | 563 | 0.16% | 0.2% | 23 | -6,889 | -21.11% | Q1 2026 | May 14, 2026 |
| BANK OF AMERICA CORP /DE/ | History | Added to | 25,027 | 547 | 0.0% | 0.0% | 24 | +23,959 | 2243.35% | Q1 2026 | May 15, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Added to | 23,976 | 524 | 0.0% | 0.0% | 25 | +5,026 | 26.52% | Q1 2026 | Apr 30, 2026 |
| OSAIC HOLDINGS, INC. | History | Added to | 22,694 | 496 | 0.0% | 0.0% | 26 | +4,291 | 23.32% | Q1 2026 | May 15, 2026 |
| Cetera Investment Advisers | History | Added to | 22,301 | 487 | 0.0% | 0.0% | 27 | +476 | 2.18% | Q1 2026 | May 13, 2026 |
| PFG Advisors | History | Added to | 21,704 | 474 | 0.02% | 0.02% | 28 | +7 | 0.03% | Q1 2026 | May 05, 2026 |
| HRT FINANCIAL LP | History | New | 21,519 | 470 | 0.0% | — | 29 | +21,519 | New | Q1 2026 | May 14, 2026 |
| Focus Financial Network, Inc. | History | Added to | 21,176 | 463 | 0.02% | 0.02% | 30 | +1,721 | 8.85% | Q1 2026 | Apr 14, 2026 |
| VestGen Advisors, LLC | History | New | 19,250 | 426 | 0.01% | — | 31 | +19,250 | New | Q1 2026 | May 14, 2026 |
| D.A. DAVIDSON & CO. | History | Added to | 18,303 | 400 | 0.0% | 0.0% | 32 | +109 | 0.6% | Q1 2026 | May 05, 2026 |
| AMERIPRISE FINANCIAL INC | History | Reduced | 18,131 | 396 | 0.0% | 0.0% | 33 | -47,461 | -72.36% | Q1 2026 | May 15, 2026 |
| ROYAL BANK OF CANADA | History | Added to | 17,950 | 393 | 0.0% | 0.0% | 34 | +557 | 3.2% | Q1 2026 | May 15, 2026 |
| GREENWOOD GEARHART LLC | History | New | 17,800 | 389 | 0.02% | — | 35 | +17,800 | New | Q1 2026 | May 06, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Reduced | 17,182 | 375 | 0.0% | 0.0% | 36 | -1,455 | -7.81% | Q1 2026 | Apr 27, 2026 |
| Sunbelt Securities, Inc. | History | No change | 13,726 | 300 | 0.02% | 0.02% | 37 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| TWO SIGMA ADVISERS, LP | History | No change | 11,000 | 253 | 0.0% | 0.0% | 38 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| DAVIDSON TRUST CO | History | No change | 11,000 | 240 | 0.1% | 0.11% | 39 | 0 | 0.0% | Q1 2026 | Apr 20, 2026 |
| WEDBUSH SECURITIES INC | History | No change | 10,700 | 234 | 0.01% | 0.01% | 40 | 0 | 0.0% | Q1 2026 | Apr 21, 2026 |
| Janney Montgomery Scott LLC | History | New | 10,256 | 224 | 0.0% | — | 41 | +10,256 | New | Q1 2026 | Apr 22, 2026 |
| HighTower Advisors, LLC | History | Added to | 10,221 | 223 | 0.0% | 0.0% | 42 | +8 | 0.08% | Q1 2026 | May 05, 2026 |
| XTX Topco Ltd | History | New | 10,079 | 220 | 0.0% | — | 43 | +10,079 | New | Q1 2026 | May 15, 2026 |
| Steward Partners Investment Advisory, LLC | History | Added to | 7,477 | 163 | 0.0% | 0.0% | 44 | +2,265 | 43.46% | Q1 2026 | May 08, 2026 |
| JPMORGAN CHASE & CO | History | No change | 7,021 | 149 | 0.0% | 0.0% | 45 | 0 | 0.0% | Q1 2026 | May 13, 2026 |
| Register Financial Advisors LLC | History | Added to | 6,003 | 131 | 0.05% | 0.05% | 46 | +23 | 0.38% | Q1 2026 | Apr 15, 2026 |
| Aquatic Capital Management LLC | History | Reduced | 5,725 | 125 | 0.0% | 0.01% | 47 | -6,376 | -52.69% | Q1 2026 | May 15, 2026 |
| Western Wealth Management, LLC | History | New | 3,195 | 69 | 0.0% | — | 48 | +3,195 | New | Q1 2026 | May 19, 2026 |
| Daytona Street Capital LLC | History | No change | 1,999 | 50 | 0.04% | 0.04% | 49 | 0 | 0.0% | Q1 2026 | Apr 10, 2026 |
| Triumph Capital Management | History | Added to | 1,775 | 38 | 0.01% | 0.0% | 50 | +1,550 | 688.89% | Q1 2026 | May 13, 2026 |
| IFP Advisors, Inc | History | No change | 1,000 | 21 | 0.0% | 0.0% | 51 | 0 | 0.0% | Q1 2026 | Apr 13, 2026 |
| EVOLUTION WEALTH MANAGEMENT INC. | History | No change | 701 | 15 | 0.01% | 0.01% | 52 | 0 | 0.0% | Q1 2026 | Apr 27, 2026 |
| BNP PARIBAS FINANCIAL MARKETS | History | No change | 684 | 14 | 0.0% | 0.0% | 53 | 0 | 0.0% | Q1 2026 | May 12, 2026 |
| State of Alaska, Department of Revenue | History | No change | 630 | 13 | 0.0% | 0.0% | 54 | 0 | 0.0% | Q1 2026 | Apr 20, 2026 |
| CIBC Private Wealth Group LLC | History | No change | 500 | 11 | 0.0% | 0.0% | 55 | 0 | 0.0% | Q4 2025 | Feb 12, 2026 |
| PFS Partners, LLC | History | No change | 503 | 11 | 0.01% | 0.01% | 56 | 0 | 0.0% | Q1 2026 | Apr 09, 2026 |
| Wilmington Savings Fund Society, FSB | History | New | 500 | 10 | 0.0% | — | 57 | +500 | New | Q1 2026 | Apr 30, 2026 |
| Russell Investments Group, Ltd. | History | Reduced | 328 | 7 | 0.0% | 0.0% | 58 | -152 | -31.67% | Q1 2026 | May 08, 2026 |
| Advisory Services Network, LLC | History | New | 241 | 5 | 0.0% | — | 59 | +241 | New | Q1 2026 | May 15, 2026 |
| Avion Wealth | History | Added to | 211 | 4 | 0.0% | 0.0% | 60 | +7 | 3.43% | Q1 2026 | May 01, 2026 |
| Fortitude Family Office, LLC | History | New | 140 | 3 | 0.0% | — | 61 | +140 | New | Q1 2026 | Apr 15, 2026 |
| MAI Capital Management | History | No change | 125 | 2 | 0.0% | 0.0% | 62 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| Strategic Investment Solutions, Inc. /IL | History | No change | 100 | 2 | 0.0% | 0.0% | 63 | 0 | 0.0% | Q1 2026 | May 01, 2026 |
| MJT & Associates Financial Advisory Group, Inc. | History | No change | 94 | 2 | 0.0% | 0.0% | 64 | 0 | 0.0% | Q1 2026 | Apr 02, 2026 |
| West Financial Advisors, LLC | History | Added to | 56 | 1 | 0.0% | 0.0% | 66 | +2 | 3.7% | Q1 2026 | Apr 08, 2026 |
| Larson Financial Group LLC | History | No change | 49 | 1 | 0.0% | 0.0% | 65 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| Closed-End Fund Advisors, Inc. | History | Closed out | 0 | 0 | — | 2.17% | — | -159,499 | -100.0% | Q1 2026 | May 11, 2026 |
| Trexquant Investment LP | History | Closed out | 0 | 0 | — | 0.0% | — | -16,827 | -100.0% | Q1 2026 | May 15, 2026 |
| JANE STREET GROUP, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -13,500 | -100.0% | Q1 2026 | May 12, 2026 |
| Dynamic Technology Lab Private Ltd | History | Closed out | 0 | 0 | — | 0.07% | — | -13,214 | -100.0% | Q1 2026 | May 15, 2026 |
| Brevan Howard Capital Management LP | History | Closed out | 0 | 0 | — | 0.0% | — | -11,419 | -100.0% | Q1 2026 | May 15, 2026 |
| HARBOUR INVESTMENTS, INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -5,973 | -100.0% | Q1 2026 | May 15, 2026 |
| SIMPLEX TRADING, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -4,264 | -100.0% | Q1 2026 | May 14, 2026 |
| BARTLETT & CO. WEALTH MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -2,000 | -100.0% | Q1 2026 | May 06, 2026 |
| Kestra Advisory Services, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -1,987 | -100.0% | Q1 2026 | Apr 30, 2026 |
| NBC SECURITIES, INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -1,680 | -100.0% | Q1 2026 | Apr 14, 2026 |
| FLAGSHIP HARBOR ADVISORS, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -443 | -100.0% | Q1 2026 | Apr 28, 2026 |
| EASTERN BANK | History | Closed out | 0 | 0 | — | 0.0% | — | -400 | -100.0% | Q1 2026 | Apr 07, 2026 |
| Harbor Asset Planning, Inc. | History | Closed out | 0 | 0 | — | 0.01% | — | -261 | -100.0% | Q1 2026 | Apr 22, 2026 |
| Laurel Wealth Advisors LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -241 | -100.0% | Q1 2026 | May 12, 2026 |
| Blue Trust, Inc. | History | Closed out | 0 | 0 | — | — | — | -20 | -100.0% | Q1 2026 | Apr 20, 2026 |
| Hurley Capital, LLC | History | Added to | 15 | 0 | — | — | — | +1 | 7.14% | Q1 2026 | May 06, 2026 |