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Saratoga Investment
SAR

53 hedge funds and large institutions have $36.5M invested in Saratoga Investment in 2021 Q3 according to their latest regulatory filings, with 10 funds opening new positions, 19 increasing their positions, 11 reducing their positions, and 4 closing their positions.

New
Increased
Maintained
Reduced
Closed

150% more first-time investments, than exits

New positions opened: 10 | Existing positions closed: 4

73% more repeat investments, than reductions

Existing positions increased: 19 | Existing positions reduced: 11

16% more capital invested

Capital invested by funds: $31.6M → $36.5M (+$4.98M)

13% more funds holding

Funds holding: 47 → 53 (+6)

0.88% more ownership

Funds ownership: 10.49% → 11.37% (+0.88%)

Holders
53
Holders Change
+6
Holders Change %
+12.77%
% of All Funds
0.93%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
10
Increased
19
Reduced
11
Closed
4
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Ameriprise
Ameriprise
Minnesota
+$740K
2
AR
Advisory Research
Illinois
+$561K
3
Morgan Stanley
Morgan Stanley
New York
+$552K
4
AAM
Advisors Asset Management
Colorado
+$429K
5
DTC
Davidson Trust Company
Washington
+$359K

Top Sellers

Rank Fund Capital Flow
1
UBS Group
UBS Group
Switzerland
-$377K
2
D.E. Shaw & Co
D.E. Shaw & Co
New York
-$360K
3
EGA
Eagle Global Advisors
Texas
-$337K
4
PI
Putnam Investments
Massachusetts
-$330K
5
Legal & General Group
Legal & General Group
United Kingdom
-$126K
Name Holding Trade Value Shares
Change 		Change in
Stake
BRWA
26
B. Riley Wealth Advisors
Florida
$348K -$34.5K -1,250 -9%
BA
27
Bard Associates
Illinois
$319K +$68.6K +2,485 +29%
AIP
28
Ahrens Investment Partners
Louisiana
$314K +$301K +10,910 New
Commonwealth Equity Services
29
Commonwealth Equity Services
Massachusetts
$281K +$270K +9,780 New
JMPWA
30
JP Morgan Private Wealth Advisors
California
$244K – – –
CPIG
31
Chicago Partners Investment Group
Illinois
$234K +$994 +36 +0.4%
TC
32
TAP Consulting
Missouri
$230K +$3.89K +141 +2%
CA
33
Cetera Advisors
Colorado
$215K +$207K +7,488 New
EGA
34
Eagle Global Advisors
Texas
$203K -$337K -12,200 -63%
UBS Group
35
UBS Group
Switzerland
$111K -$377K -13,644 -78%
Rockefeller Capital Management
36
Rockefeller Capital Management
New York
$64K +$14.1K +509 +29%
Bank of America
37
Bank of America
North Carolina
$50K +$42.1K +1,525 +763%
TWM
38
Tradition Wealth Management
Minnesota
$40K +$663 +24 +2%
FIA
39
FNY Investment Advisers
New York
$40K +$38.6K +1,399 New
CFB
40
Cullen/Frost Bankers
Texas
$39K – – –
HI
41
Harbour Investments
Wisconsin
$29K – – –
APA
42
American Portfolios Advisors
New York
$25.3K – – –
SPIA
43
Steward Partners Investment Advisory
New York
$21K – – –
MSFP
44
Mark Sheptoff Financial Planning
Connecticut
$20K -$11K -400 -36%
TRCT
45
Tower Research Capital (TRC)
New York
$15K +$14.7K +533 New
GWM
46
Geneos Wealth Management
Colorado
$10K – – –
SSB
47
Sandy Spring Bank
Maryland
$10K – – –
LWANC
48
Laurel Wealth Advisors (North Carolina)
North Carolina
$7K – – –
CHA
49
Carmichael Hill & Associates
Maryland
$6K +$5.93K +215 New
FMP
50
Financial Management Professionals
Texas
$5K +$5K +181 New
1
2
3

SAR Hedge Fund Activity: Q3 2021 in Review

53 of the 5,712 institutional investors tracked by Wall St. Rank reported a position in Saratoga Investment (SAR) for Q3 2021, worth a combined $36.5M — up 16% from $31.6M a quarter earlier.

Buyers outnumbered sellers: 10 funds opened new SAR positions and 4 closed out — a net gain of 6 holders — while 19 added to existing stakes and 11 trimmed.

The largest buyer was Ameriprise, opening a new position worth an estimated $740K. The largest seller was UBS Group, cutting an estimated $377K.

  • 53 institutional investors held Saratoga Investment (SAR) as of Q3 2021, up from 47 in Q2 2021.
  • Funds reported $36.5M of Saratoga Investment stock for Q3 2021, up 16% quarter-over-quarter.
  • 10 funds opened new Saratoga Investment positions in Q3 2021 and 4 closed out, a net change of +6 holders.
  • The largest Saratoga Investment buyer in Q3 2021 was Ameriprise, an estimated $740K added.
  • The largest Saratoga Investment seller in Q3 2021 was UBS Group, an estimated $377K sold.

Based on aggregated 13F filings for Q3 2021.