What Saratoga Proxy Consulting does

Saratoga Proxy Consulting LLC is a New York-based, privately held financial advisory firm specializing in proxy solicitation, shareholder identification, corporate governance consultation, and M&A and fixed-income advisory services. Founded in 2016 by three senior industry practitioners — Joseph J. Mills, John J. Ferguson, and Ann Marie Mellone — the firm serves two principal client sets: public company managements navigating proxy campaigns, contested elections, governance reforms, and M&A shareholder-approval processes, and activist shareholders or opposition groups engaged in proxy fights and shareholder campaigns. Six service lines cover the full engagement lifecycle: full-service proxy solicitation, proxy contests, shareholder identification, corporate governance consultation and vote projections, M&A services, and fixed income/bondholder identification for tender and exchange offers.

The firm operates as a senior-practitioner-led consulting practice rather than a software or technology platform. Its principal assets are the partners' combined experience exceeding 80 years and the institutional relationships they bring from prior tenures at firms including Citigroup and Morrow & Co. Methodology emphasizes personalized, ownership-mood-driven analysis over standardized advisory playbooks, and the partners are hands-on across all client matters. Underlying data inputs come from public stockholder records and the partners' proprietary knowledge of institutional investor behavior rather than from disclosed proprietary technology.

Saratoga generates revenue on a consulting/advisory basis through project-based engagements, with pricing not publicly disclosed. Go-to-market is driven by professional referrals, partner-led networking, industry conference participation (Society of Corporate Secretaries and Governance Professionals, NIRI, SSA), and inbound inquiries through its website. The firm is a private LLC with no disclosed parent company, no external funding rounds, and no subsidiaries, operating from a single headquarters at 520 8th Avenue, 14th Floor, Midtown Manhattan, with 11–50 employees.

Name

Saratoga Proxy Consulting

Legal name

Saratoga Proxy Consulting LLC

Website

https://saratogaproxy.com

Company type

Private

Founded year

2016

Operating status

Operating

Headcount range

11–50 employees

Short description

Saratoga Proxy Consulting is a New York-based proxy solicitation and shareholder advisory firm serving public company issuers and activist shareholders with proxy campaigns, governance consulting, M&A approval support, and bondholder identification.

Ownership category

akta.pro rank

Product category

Proxy Solicitation & Corporate Governance Advisory

NAICS

Portfolio Management and Investment Advice (523940)

SIC

Investment Advice (6282)

akta.pro primary industry

Proxy Voting & Shareholder Meetings (AGM/EGM) (FSACAKAB)

akta.pro secondary industry

Proxy Voting & Shareholder Meeting Services (FSAFALAD)

Keywords

• Proxy solicitation services
• Shareholder identification
• Corporate governance advisory
• Proxy contest advisory
• M&A shareholder advisory

Headquarters

HQ city

New York

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Infrastructure, Others

Distribution channels1 record

Marketing channels5 records

Core offering

Saratoga Proxy Consulting is a NYC-based proxy solicitation and stock surveillance firm providing investor advisory services to public companies, activist shareholders, and institutional investors. Its core offerings include full-service proxy campaign management, advisory for proxy contests, shareholder identification and trading activity monitoring, corporate governance consultation with vote projections, M&A proxy solicitation and information agent services, and bondholder identification for fixed income tender/exchange offers.

Product overview

Saratoga Proxy Consulting is a NYC-based proxy solicitation and stock surveillance firm offering investor advisory services to companies facing shareholder issues. The company provides six core professional services: Proxy Advice/Solicitation (full-service proxy campaign management including agenda assessment, shareholder profiling, strategy design, and real-time voting tracking); Proxy Contests (advisory for contested situations with shareholder community insight and stock record analysis); Shareholder Identification (identification of major shareholders and trading monitoring for defense, IR, and transaction purposes); Corporate Governance Consultation/Vote Projections (governance reform advisory and shareholder relationship management); M&A Services (proxy solicitor and information agent support for M&A shareholder approval); and Fixed Income Services (bondholder identification for tender/exchange offers). The firm operates as a service-based consulting practice with senior practitioners rather than a software platform.

Differentiator

Problem solved

Functional benefit

Products and services

• Proxy Advice / Solicitation
• Proxy Contests
• Shareholder Identification
• Corporate Governance Consultation / Vote Projections
• M&A Services
• Fixed Income Services

Segments2 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Scale indicators2 records

Recent moves4 records

Expansion highlights3 records

Direct peers

• Innisfree M&A Incorporated: One of the largest independent proxy solicitation and investor advisory firms in the US, providing essentially the same core services as Saratoga — proxy solicitation, M&A information agent work, shareholder identification, and contested situation advisory — to issuers and activists.
• Morrow Sodali: Global proxy solicitation, governance consulting, and shareholder engagement firm formed from the merger of Morrow & Co. (where Saratoga's John Ferguson previously worked) and Sodali. Direct head-to-head competitor in proxy advice, contested situations, and M&A services.
• Georgeson LLC: Long-established proxy solicitation and corporate governance advisory firm serving public companies on annual meetings, proxy contests, mergers, and shareholder activism — directly overlapping Saratoga's core service lines.
• MacKenzie Partners: US proxy solicitation and investor communications firm specializing in proxy fights, M&A approvals, and corporate governance advisory — a direct boutique competitor in the same engagement-based proxy services market.
• DF King & Co. Proxy solicitation, investor communications, and corporate governance services firm serving public companies and activists, with overlapping offerings in shareholder identification, vote projections, and M&A proxy work.
• Alliance Advisors: Boutique proxy solicitation and strategic shareholder advisory firm focused on activism defense, M&A, and contested situations — directly comparable boutique competitor with similar senior-led service positioning.
• Okapi Partners: Specialist proxy solicitation and investor advisory firm with a strong focus on activism, contested M&A, and shareholder identification — a closely comparable boutique competitor targeting the same issuer and activist client base.

Broad incumbents

• Broadridge Financial Solutions (Issuer Services): Large-scale public-company services provider with a substantial proxy communications, shareholder meeting, and governance analytics business. Competes with Saratoga on technology-enabled proxy and governance services but as part of a much broader financial-services infrastructure portfolio.
• Equiniti (EQ): Transfer agent and issuer services provider offering proxy solicitation, shareholder communications, and governance tools; competes with Saratoga on shareholder identification and proxy campaign execution at larger scale.

Emerging players

• Mediant Communications: Proxy communications and digital investor solutions provider, overlapping with Saratoga on proxy distribution and shareholder engagement but with a more technology-led delivery model.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat4 records

Key risks5 records

Key highlights5 records

Customer concentration

• Xx.com/SaratogaProxy
• Facebookfacebook.com/Saratoga-Proxy-Consulting-LLC-1011064559010302
• LinkedInlinkedin.com/company/saratoga-proxy-consulting

Revenue estimate

Valuation estimate

Number of profiles

Profiles3 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Saratoga Proxy Consulting