SourcingSourcing

SADDLEROCK CAPITAL MANAGEMENT LLC

C43
CRD 330801·SEC 801-133958·NEW YORK, NY
AUM
$187.8M
$100M-$500M
Est. Revenue
$1.9M
@ 1% on AUM
Est. EBITDA
$563K
@ 30% margin
Est. Deal Value
$4.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SADDLEROCK CAPITAL MANAGEMENT LLC
CRD
330801
SEC file #
801-133958
EIN
990814886
DBA names
—

Economics

AUM
$187.8M
AUM band
$100M-$500M
AUM trajectory
'25'26
$155.9M → $187.8M▲ +20%
Client mix
Pooled Investment Vehicles3

Operations

Employees (total)
6
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'25'26
3 advisors → 4 advisors▲ +33%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
Goldman Sachslow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
04/21/2026
ADV-W filed at
—
Website
saddlerockcap.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
HERMAN, ARI, MICHAEL
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
HERMAN, ARI, MICHAEL
SULTAN, LOUIS, JAY
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SADDLEROCKCAP.COM
Rdap Domain Creation Date
2023-04-14T18:06:22Z
Rdap Firm Age Years
3
Rdap Firm Age Band
<5y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002018754
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2026-02-17
Edgar Last Filing Date
2026-05-15
Edgar 13f Count
2
Edgar 13f Latest AUM Estimate
Filing Date2026-05-15
Accession0002018754-26-000005

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Goldman Sachs6
Morgan Stanley5
E*trade4
Northern Trust2
Edgar Addresses
Mailing
370 LEXINGTON AVENUE#502NEW YORK, NY 10017
Business
370 LEXINGTON AVENUE#502NEW YORK, NY 10017
Edgar EIN
990814886
Edgar Recent Filings
13F-HR2026-05-15 · 0002018754-26-000005
13F-HR2026-02-17 · 0002018754-26-000003
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-04-14T18:06:22Z
Rdap Domain Last Changed
2026-04-15T17:16:34Z
Rdap Nameservers
Ns75.domaincontrol.comNs76.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
4822631
Trust Company Affiliate
Yes

People (2)

2
HERMAN, ARI, MICHAEL
Direct Owner · 87.5%
4822631
SULTAN, LOUIS, JAY
Executive Officer · 2.5%
5887722