SAG HARBOR CAPITAL MANAGEMENT, LLC
Adviser information for SAG HARBOR CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2 | $448.4M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $448.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $448.4M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-100439 |
|---|---|
| SEC ERA File Number | 801-100439 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161490 |
| Legal Entity Identifier | None |
Principal Office
60 CUTTER MILL ROADSUITE 601
GREAT NECK
NY
United States
Monday - Friday, 8AM - 6PM
Tel: 212-684-2283, Fax: 212-532-1222
Chief Compliance Officer
ADAM MICHAEL WINDWER
CHIEF FINANCIAL OFFICER
60 CUTTER MILL ROAD
SUITE 601
GREAT NECK
NY
United States
Tel:
212-532-9284
Fax:
212-532-1122
A***@**************M
(Full email address available in API data)
Regulatory Contact
GREGG XANTHUS WINTER
FOUNDER AND MANAGING PARTNER
60 CUTTER MILL ROAD
SUITE 601
GREAT NECK
NY
United States
Tel:
212-684-2283 X111
Fax:
212-532-1222
G****@**************M
(Full email address available in API data)
Industry Affiliates
| ALTERNATIVE OPPORTUNITIES GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| W FINANCIAL GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| WINTER & COMPANY COMMERICAL REAL ESTATE FINANCE | Real estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ALTERNATIVE OPPORTUNITIES FUND, LP | Real Estate Fund | $13.0M | $0.3M | 108 |
| W FINANCIAL FUND, LP | Hedge Fund | $435.4M | $0.1M | 659 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WINTER, GREGG, XANTHUS | Individual | – | MANAGER/MEMBER | 04/2007 | 25-50% |
| HEIDEN, DAVID, MARC | Individual | – | MANAGER/MEMBER | 04/2007 | 25-50% |
| WINDWER, ADAM, MICHAEL | Individual | – | MEMBER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER | 01/2014 | 5-10% |
| SCHOCHET, JARRET, ADAM | Individual | – | MEMBER | 08/2017 | 5-10% |