Company · Ownership research

SARATOGA INVESTMENT CORP. SAR

CIK 0001377936 · CUSIP 80349A208

Insider tradingInitial holdingsInstitutional holders

Quarter-end disclosures, not live holdings.

Several CUSIPs are reported for this company; this page shows CUSIP 80349A208 (SAR), not CUSIP 80349A908 (SAR), and does not merge CUSIPs.

This page lists the top 20 of 43 rows by value; the complete set is available through the API.

Some filings reported values in thousands; those figures were scaled ×1,000 to dollars.

Top 20 institutions

Weight means this stock's share of the manager's own portfolio.

By reported value

#	Manager	Value	Manager weight	Change vs prior	Source
01	INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC CIK 1818604 · Amended · View history	$2.33M 139,364 shares	0.14%	+23.35K(+20.10%)Added	SEC filing ↗ Nov 2, 2026	▾
02	Private Advisor Group, LLC CIK 1567755 · View history	$2.19M 131,153 shares	0.01%	-15.53K(-10.60%)Reduced	SEC filing ↗ Nov 10, 2026	▾
03	Ethos Financial Group, LLC CIK 1954242 · View history	$2.00M 120,171 shares	0.11%	+63.64K(+112.60%)Added	SEC filing ↗ Nov 12, 2026	▾
04	Advisors Asset Management, Inc. CIK 1297376 · View history	$1.94M 116,407 shares	0.03%	-5.23K(-4.30%)Reduced	SEC filing ↗ Nov 10, 2026	▾
05	LPL Financial LLC CIK 1403438 · View history	$1.62M 97,288 shares	0.00%	-14.62K(-13.10%)Reduced	SEC filing ↗ Nov 6, 2026	▾
06	Lido Advisors, LLC CIK 1650150 · View history	$1.55M 93,185 shares	0.01%	-88.33K(-48.70%)Reduced	SEC filing ↗ Nov 4, 2026	▾
07	Hennion & Walsh Asset Management, Inc. CIK 1861642 · View history	$1.49M 89,486 shares	0.04%	-37.55K(-29.60%)Reduced	SEC filing ↗ Oct 13, 2026	▾
08	JANE STREET GROUP, LLC CIK 1595888 · View history	$1.02M 61,002 shares	0.00%	+61.00KNew	SEC filing ↗ Nov 12, 2026	▾
09	Janney Montgomery Scott LLC CIK 1329948 · View history	$919.00K 55,150 shares	0.00%	-1.01K(-1.80%)Reduced	SEC filing ↗ Nov 12, 2026	▾
10	Wealthcare Advisory Partners LLC CIK 1683059 · View history	$856.41K 51,405 shares	0.01%	+2.26K(+4.60%)Added	SEC filing ↗ Oct 21, 2026	▾
11	Next Level Private LLC CIK 1910366 · View history	$725.16K 43,527 shares	0.14%	0(0.00%)Unchanged	SEC filing ↗ Oct 20, 2026	▾
12	Focus Partners Wealth CIK 1542153 · View history	$686.60K 41,212 shares	0.00%	+9.77K(+31.10%)Added	SEC filing ↗ Nov 12, 2026	▾
13	UBS Group AG CIK 1610520 · View history	$579.02K 34,755 shares	0.00%	+28.09K(+421.50%)Added	SEC filing ↗ Nov 10, 2026	▾
14	Virtus Investment Advisers, LLC CIK 19481 · View history	$535.12K 32,120 shares	0.12%	+11.36K(+54.70%)Added	SEC filing ↗ Nov 12, 2026	▾
15	Focus Financial Network, Inc. CIK 2010942 · View history	$515.23K 30,926 shares	0.02%	+5.71K(+22.60%)Added	SEC filing ↗ Oct 14, 2026	▾
16	Cambridge Investment Research Advisors, Inc. CIK 1419186 · View history	$389.00K 23,369 shares	0.00%	+170(+0.70%)Added	SEC filing ↗ Nov 2, 2026	▾
17	OSAIC HOLDINGS, INC. CIK 1677044 · View history	$378.96K 22,747 shares	0.00%	0(0.00%)Unchanged	SEC filing ↗ Nov 12, 2026	▾
18	SIMPLEX TRADING, LLC CIK 1488542 · View history	$374.45K 22,476 shares	0.01%	+22.48KNew	SEC filing ↗ Nov 4, 2026	▾
19	RAYMOND JAMES FINANCIAL INC CIK 720005 · View history	$373.56K 22,423 shares	0.00%	-26.72K(-54.40%)Reduced	SEC filing ↗ Nov 12, 2026	▾
20	GREENWOOD GEARHART LLC CIK 1084683 · View history	$358.19K 21,500 shares	0.02%	0(0.00%)Unchanged	SEC filing ↗ Nov 2, 2026	▾

Showing 20 / 43 institutions. The complete set is available through the API.

Coverage & totals by quarter

Reporting institutions

Cancelled or null records excluded

Disclosed shares

1,315,893

Not deduplicated across managers

Disclosed value

$21.93M

Not market cap or free float

Reporting institutions by quarter

Counts also change with data coverage and reporting entities; they do not measure net buying. Distinct managers with a live stock row in this CUSIP; totals may include overlapping filings and are not a share of the company.

SARATOGA INVESTMENT CORP. · Q3 2026

Explore all 43 reporting institutions.

This page includes 20 of 43 reporting institutions. Log in to look up the full history beyond 3 years, use advanced screening & filtering, download CSV, and get the complete set through the Akkru API.

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Sources, coverage & how to read this data

Figures are as reported to the SEC and merged with later amendments where Akkru could match them. Preview limits apply to what is listed, not to the totals, which come from the complete reported data. Nothing is zero-filled: a missing quarter or month is shown as missing.