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Mathew Edward Spencer

Saratoga Research & Investment Management

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About Mathew Edward Spencer

Mathew Edward Spencer is an Investment Advisor Representative with Saratoga Research & Investment Management. Spencer has been in the industry since January 2015 and is registered with the state of California. Spencer holds Series 63, 65, 7, 86, and 87 licenses. Spencer previously worked at JMP Securities LLC. Spencer specializes in providing investment advice to individuals, investment companies, pooled investment vehicles, and corporations or other businesses.

Firm Information

Mathew Spencer is currently registered with Saratoga Research & Investment Management. Saratoga Research & Investment Management is an investment advisor registered with the SEC and located in Saratoga, CA. The firm manages over $2.7 billion in assets and offers a range of investment services, including portfolio management for individuals, investment companies, and pooled investment vehicles. They also provide financial planning and securities research. The firm primarily serves high-net-worth individuals, corporations, and pension and profit-sharing plans. They also serve investment companies, charitable organizations, and individuals other than high-net-worth individuals. The firm participates in wrap fee programs.
Saratoga Research & Investment Management

14471 BIG BASIN WAY, SUITE E

SARATOGA, CA 95070

$2.74B

Assets Under Management

Not reported

Total Clients

15

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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securities research

Securities research

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Mathew Spencer’s Registration & Firm History

CA

04/24/2019 - Present

Saratoga Research & Investment Management (SARATOGA CA)

CA

01/09/2015 - 03/04/2019

JMP SECURITIES LLC (SAN FRANCISCO CA)

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Licenses & Designations

IA

Issued 04/24/2019

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/26/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/11/2015

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 11/23/2015

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 01/09/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Mathew Edward Spencer.
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