{"url":"https://nivawealth.com/firms/sag-harbor-capital-management-161490","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/161490","regulatoryAum":427192002,"crd":"161490","history":[{"filedOn":"2021-03-24","regulatoryAum":386903974,"clients":3,"employees":11,"offices":1},{"filedOn":"2022-03-18","regulatoryAum":363997577,"clients":3,"employees":11,"offices":1},{"filedOn":"2023-03-28","regulatoryAum":375024552,"clients":2,"employees":13,"offices":1},{"filedOn":"2024-03-29","regulatoryAum":448376590,"clients":2,"employees":13,"offices":1},{"filedOn":"2025-03-26","regulatoryAum":455227097,"clients":2,"employees":13,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":427192002,"clients":2,"employees":13,"offices":1}],"secFileNumber":"801-100439","legalName":"Sag Harbor Capital Management, LLC","displayName":"Sag Harbor Capital Management","slug":"sag-harbor-capital-management-161490","website":null,"classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"60 Cutter Mill Road, Suite 601","city":"Great Neck","state":"NY","stateName":"New York","country":"United States","postalCode":"11021"},"tradeNames":[],"registration":{"secApproved":"1 July 2015","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":13,"advisory":9,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":427192002,"discretionary":427192002,"discretionaryAccounts":2,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":2,"regulatoryAum":427192002}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Sag Harbor Capital Management has custody of $427M in client assets for 2 clients.","otherCustodians":[],"leadership":[{"name":"Adam Windwer","title":"Member/Chief Financial Officer/Chief Compliance Officer","crd":"6310453"},{"name":"David Heiden","title":"Manager/Member","crd":"6041163"},{"name":"Jarret Schochet","title":"Member","crd":"6849359"},{"name":"Gregg Winter","title":"Manager/Member","crd":"6041158"}],"ownership":[{"label":"Gregg Winter","detail":"Manager/member in the 25% to 50% ownership band and a control person, since April 2007."},{"label":"David Heiden","detail":"Manager/member in the 25% to 50% ownership band and a control person, since April 2007."},{"label":"Adam Windwer","detail":"Member/chief financial officer/chief compliance officer in the 5% to 10% ownership band and a control person, since January 2014."},{"label":"Jarret Schochet","detail":"Member in the 5% to 10% ownership band, since August 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"60 Cutter Mill Road, Suite 601","city":"Great Neck","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-684-2283","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":2},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/161490/PDF/161490.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Sag Harbor Capital Management have?","answer":"Sag Harbor Capital Management has 2 clients and manages $427 million for them, as of March 2026. They include 2 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sag Harbor Capital Management offer?","answer":"Sag Harbor Capital Management provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Sag Harbor Capital Management have?","answer":"Sag Harbor Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 13 employees, and 9 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Sag Harbor Capital Management?","answer":"Sag Harbor Capital Management’s direct owners are Gregg Winter, David Heiden, Adam Windwer and Jarret Schochet, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sag Harbor Capital Management get paid?","answer":"Sag Harbor Capital Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Sag Harbor Capital Management?","answer":"Sag Harbor Capital Management’s main office is at 60 Cutter Mill Road, Suite 601, Great Neck, NY 11021. Its phone number is 212-684-2283.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}