# Saddlerock Capital Management LLC

> Saddlerock Capital Management LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 10, 2026.

- CRD: 330801
- Filed as: SADDLEROCK CAPITAL MANAGEMENT LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: September 10, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/330801
- AdvisorCensus page: https://advisorcensus.com/firm/saddlerock-capital-management-llc-new-york-ny-330801

## Quick answers

**How is Saddlerock Capital Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Saddlerock Capital Management LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees.

**Where is Saddlerock Capital Management LLC located?**
Saddlerock Capital Management LLC's principal office is in New York, NY, according to its Form ADV.

**Is Saddlerock Capital Management LLC registered with the SEC or a state?**
Saddlerock Capital Management LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 330801.

**How much does Saddlerock Capital Management LLC manage?**
Saddlerock Capital Management LLC reports $199,634,266 in regulatory assets under management in its Form ADV filing dated September 10, 2026 (97% discretionary).

**How have Saddlerock Capital Management LLC's assets and staff changed since 2024?**
In the Form ADV data for Saddlerock Capital Management LLC: Regulatory assets under management: $155,887,194 in the October 2025 data and $199,634,266 in the October 2026 data, up 28%. Total employees: 5 in October 2025 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Saddlerock Capital Management LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (4); investment companies (1).

**Does Saddlerock Capital Management LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/330801

**Does Saddlerock Capital Management LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 30, 2026 says: "Subject to the discretion of SaddleRock to accept less, the minimum initial investment threshold for the Funds is $2,000,000."

**What changed in Saddlerock Capital Management LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $155,887,194 to $187,788,241 (+20%). Employees performing advisory functions went from 3 to 4.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Fees and minimums (Form ADV Part 2A brochure dated March 30, 2026)

- Account minimum: $2,000,000 (the brochure says it may be waived or negotiated)

> Subject to the discretion of SaddleRock to accept less, the minimum initial investment threshold for the Funds is $2,000,000.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $199,634,266
- Discretionary: $192,749,735
- Non-discretionary: $6,884,531

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 1 | $3,650,620 |
| Pooled investment vehicles (other than investment companies and business development companies) | 4 | $195,983,646 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2025 (1 year)
- Employees: 6 total, 4 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [saddlerockcap.com](https://saddlerockcap.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2024 | Not reported | Not reported | May 29, 2024 |
| October 2025 | $155,887,194 | 5 | June 25, 2025 |
| October 2026 | $199,634,266 | 6 | September 10, 2026 |

Regulatory assets under management: $155,887,194 in the October 2025 data and $199,634,266 in the October 2026 data, up 28%.
Total employees: 5 in October 2025 and 6 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $155,887,194 to $187,788,241 (+20%).
- Employees performing advisory functions went from 3 to 4.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Saddlerock Capital Management LLC (CRD 330801): Form ADV filing data as of October 2026.