SPMCX: Saratoga Mid Capitalization C

Welcome to MutualFunds.com

Please help us personalize your experience and select the one that best describes you.

Your personalized experience is almost ready.

Join other Individual Investors receiving FREE personalized market updates and research. Join other Institutional Investors receiving FREE personalized market updates and research. Join other Financial Advisors receiving FREE personalized market updates and research.

Thank you!

Check your email and confirm your subscription to complete your personalized experience.

Thank you for your submission

We hope you enjoy your experience

Channels

Find the latest content and information here about the 2019 Charles Schwab Impact Conference.

Advisors

Receive email updates about fund flows, news, upcoming CE accredited webcasts from industry thought leaders and more.

Content focused on helping financial advisors build successful client relationships and grow their business.

Content geared towards helping financial advisors build better client portfolios.

Get insights on the industry trends and investment news from leading fund managers and experts.

SPMCX Saratoga Mid Capitalization C


Profile

SPMCX - Profile

Vitals

  • YTD Return -32.8%
  • 3 Yr Annualized Return -14.7%
  • 5 Yr Annualized Return -12.6%
  • Net Assets $7.66 M
  • Holdings in Top 10 25.7%

52 WEEK LOW AND HIGH

$6.09
$5.37
$9.40

Expenses

OPERATING RELATED FEES

  • Expense Ratio 2.32%

SALES FEES

  • Front Load N/A
  • Deferred Load 1.00%

BROKERAGE FEES

  • Turnover 49.00%

TRADING FEES

  • Max Redemption Fee 2.00%

Min Investment

  • Standard (Taxable) $250
  • IRA N/A

Fund Classification


Distributions

  • YTD Total Return -32.8%
  • 3 Yr Annualized Total Return -14.7%
  • 5 Yr Annualized Total Return -12.6%
  • Capital Gain Distribution Frequency Annually
  • Net Income Ratio -0.34%
DIVIDENDS
  • Dividend Yield 0.0%
  • Dividend Distribution Frequency Annually

Fund Details

  • Legal Name
    Saratoga Mid Capitalization Portfolio
  • Fund Family Name
    Saratoga
  • Inception Date
    Jun 28, 2002
  • Shares Outstanding
    N/A
  • Share Class
    C
  • Currency
    USD
  • Domiciled Country
    United States
  • Manager
    Dennis Alff

Fund Description

The Portfolio will normally invest at least 80% of its total assets in equity securities of companies whose stock market capitalizations fall within the range of capitalizations in the Russell Midcap® Index at the time of purchase. Equity securities include common stocks, preferred stocks, securities convertible into common stocks and warrants. It invests in securities of companies that are believed by the Adviser to be undervalued, thereby offering above-average potential for capital appreciation.


Sign up for Advisor Access

Receive email updates about best performers, news, CE accredited webcasts and more.


Categories

Performance

SPMCX - Performance

Return Ranking - Trailing

Period SPMCX Return Category Return Low Category Return High Rank in Category (%)
YTD -32.8% -46.5% 1.0% 47.09%
1 Yr -25.6% -62.9% 28.1% 18.60%
3 Yr -14.7%* -29.8% 9.6% 65.51%
5 Yr -12.6%* -22.4% 9.7% 83.05%
10 Yr -2.9%* -11.8% 11.9% 76.51%

* Annualized

Return Ranking - Calendar

Period SPMCX Return Category Return Low Category Return High Rank in Category (%)
2019 29.1% -23.6% 35.6% 8.75%
2018 -28.4% -44.3% -1.3% 90.72%
2017 2.1% -13.5% 18.9% 75.00%
2016 -4.7% -16.4% 23.6% 95.74%
2015 -9.9% -40.7% -0.7% 46.58%

Total Return Ranking - Trailing

Period SPMCX Return Category Return Low Category Return High Rank in Category (%)
YTD -32.8% -46.5% 1.0% 47.09%
1 Yr -25.6% -62.9% 28.1% 18.60%
3 Yr -14.7%* -29.8% 9.6% 87.97%
5 Yr -12.6%* -21.9% 9.7% 97.88%
10 Yr -2.9%* -9.1% 11.9% 95.78%

* Annualized

Total Return Ranking - Calendar

Period SPMCX Return Category Return Low Category Return High Rank in Category (%)
2019 29.1% -23.6% 35.6% 8.75%
2018 -28.4% -44.3% 0.1% 94.61%
2017 2.1% -8.7% 24.9% 95.33%
2016 -4.7% -4.7% 26.2% 100.00%
2015 -9.9% -40.3% 3.9% 72.65%

NAV & Total Return History


Holdings

SPMCX - Holdings

Concentration Analysis

SPMCX Category Low Category High SPMCX % Rank
Net Assets 7.66 M 728 K 98.8 B 95.01%
Number of Holdings 71 1 3264 70.08%
Net Assets in Top 10 2.81 M 161 K 7.5 B 93.35%
Weighting of Top 10 25.69% 2.3% 100.0% 31.02%

Top 10 Holdings

  1. Nexstar Media Group Inc Class A 3.60%
  2. Fiserv Inc 2.71%
  3. TCF Financial Corp 2.69%
  4. CACI International Inc Class A 2.54%
  5. Fidelity National Information Services Inc 2.53%
  6. Evergy Inc 2.52%
  7. Global Payments Inc 2.46%
  8. Allstate Corp 2.22%
  9. Nasdaq Inc 2.21%
  10. Vistra Energy Corp 2.21%

Asset Allocation

Weighting Return Low Return High SPMCX % Rank
Stocks
99.63% 82.68% 100.49% 23.55%
Cash
0.37% -4.60% 12.00% 75.07%
Preferred Stocks
0.00% 0.00% 3.76% 81.16%
Other
0.00% -6.55% 7.21% 80.06%
Convertible Bonds
0.00% 0.00% 0.32% 80.06%
Bonds
0.00% 0.00% 5.39% 81.44%

Stock Sector Breakdown

Weighting Return Low Return High SPMCX % Rank
Financial Services
18.32% 1.64% 50.76% 14.96%
Industrials
16.37% 3.30% 47.98% 38.50%
Technology
15.94% 3.16% 30.03% 49.86%
Utilities
14.58% 0.00% 14.58% 0.83%
Healthcare
8.28% 1.94% 24.89% 80.33%
Consumer Defense
5.39% 0.00% 13.73% 29.92%
Consumer Cyclical
5.27% 4.27% 39.52% 99.72%
Communication Services
4.80% 0.00% 31.30% 18.28%
Energy
4.36% 0.00% 21.15% 21.05%
Basic Materials
3.93% 0.00% 9.94% 52.63%
Real Estate
2.76% 0.00% 30.44% 84.49%

Stock Geographic Breakdown

Weighting Return Low Return High SPMCX % Rank
US
97.16% 81.04% 100.18% 35.73%
Non US
2.47% 0.00% 15.20% 47.09%

Expenses

SPMCX - Expenses

Operational Fees

SPMCX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 2.32% 0.02% 19.45% 4.94%
Management Fee 0.75% 0.00% 2.00% 71.87%
12b-1 Fee 1.00% 0.00% 1.00% 96.51%
Administrative Fee 0.15% 0.01% 0.30% 78.10%

Sales Fees

SPMCX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Front Load N/A 2.00% 5.75% N/A
Deferred Load 1.00% 1.00% 4.00% 80.95%

Trading Fees

SPMCX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Max Redemption Fee 2.00% 0.50% 2.00% 62.96%

Related Fees

Turnover provides investors a proxy for the trading fees incurred by mutual fund managers who frequently adjust position allocations. Higher turnover means higher trading fees.

SPMCX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover 49.00% 0.01% 962.00% 52.02%

Distributions

SPMCX - Distributions

Dividend Yield Analysis

SPMCX Category Low Category High SPMCX % Rank
Dividend Yield 0.00% 0.00% 7.24% 79.67%

Dividend Distribution Analysis

SPMCX Category Low Category High Category Mod
Dividend Distribution Frequency Annually Annually Semi-Annually Annually

Net Income Ratio Analysis

SPMCX Category Low Category High SPMCX % Rank
Net Income Ratio -0.34% -6.46% 2.06% 91.17%

Capital Gain Distribution Analysis

SPMCX Category Low Category High Capital Mode
Capital Gain Distribution Frequency Annually Annually Daily Annually

Dividend Payout History

View More +

Fund Manager Analysis

SPMCX - Fund Manager Analysis

Managers

Dennis Alff


Start Date

Tenure

Tenure Rank

Apr 30, 2006

13.93

13.9%

Mr. Alff has been a Senior Portfolio Manager at Vaughan Nelson since 2006. He began his investment career since 1997 and has also served as Vice President, Credit Arbitrage and Asset Investments at Koch Capital Markets and Project Leader at The Boston Consulting Group.

Christopher Wallis


Start Date

Tenure

Tenure Rank

Apr 30, 2006

13.93

13.9%

Christopher D. Wallis, CFA, is Senior Portfolio Manager. Mr. Wallis received his BBA in Accounting from Baylor University in 1991 and his MBA in 1998 from Harvard Business School. Mr. Wallis holds the Chartered Financial Analyst designation and is a Certified Public Accountant for the State of Texas. Prior to joining Vaughan Nelson Investment Management in 1999, he was an Associate at Simmons & Company International.

Chad Fargason


Start Date

Tenure

Tenure Rank

Nov 01, 2013

6.42

6.4%

Dr. Fargason has been a Senior Portfolio Manager at Vaughan Nelson since 2013. Before joining Vaughan Nelson, he was a Director at KKR&Co. from 2003 to 2013. Prior to that, he also served as a Senior Vice President at El Paso Corp. and Project Leader at The Boston Consulting Group.

Tenure Analysis

Category Low Category High Category Average Category Mode
0.09 33.0 6.08 0.78