SAX CAPITAL LLC: Investment Adviser Form ADV Filing

How this adviser has changed

Annual filings

Regulatory assets under management

Up to five fiscal years, using the latest annual update available at the selected filing date. Asset changes can reflect acquisitions, client flows, and valuations; they are not investment returns.

Annual adviser history and sources
Fiscal year	Regulatory AUM	Employees	Filed
2021	$1,194,773,210	9	Mar 31, 2022

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	198	$1,194,773,210	100.0%

Filing source

Form ADV 1684095 · Oct 27, 2022 · Item 5.D

Reported by SAX CAPITAL LLC (CRD 288220).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Private funds & service providers

1 selected fund records

Largest reported gross asset value first; unreported values last. Gross asset value is fund-level disclosure, distinct from adviser AUM and Form D fundraising. Master and feeder funds may overlap.

View all funds in this filing

SAX SFR 032, A SERIES OF SAX CAPITAL SERIES FUND IV, LPPrivate Equity Fund$2.37MGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

SAX LYFT 033, a series of SAX Capital Series Fund III, LP

Fund administrator ASSURE FUND MANAGEMENT, LLC SALT LAKE CITY, Utah, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Auditor SENSIBA SAN FILIPPO LLP PLEASANTON, California, United States Other funds reporting this name →

Custodian SILICON VALLEY BANK SANTA CLARA, California, United States Related to adviser: No Other funds reporting this name →

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

SENSIBA SAN FILIPPO LLP
PCAOB 854

Fund details & source

Fund ID: 805-7329900560
Reported beneficial owners: 42
Minimum commitment: $10K
Form D file number: 021-327264

Form ADV 1684095 · Oct 27, 2022 · Schedule D 7.B.(1)

Reported by SAX CAPITAL LLC (CRD 288220).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Services & filing details

Showing values from the selected filing. Latest observed filing does not establish current registration status.

What changed?

Since Mar 31, 2022 · previous imported filing

Employees9 → 6

Filing source

Form ADV 1684095 · Oct 27, 2022 · Items 1 & 5

Reported by SAX CAPITAL LLC (CRD 288220).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Management of assets

Discretionary: $1.19B
Non-discretionary: $0

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

1140 3RD STREET NE, 2ND FLOOR
WASHINGTON, DC, 20002, United States

CRD 288220

Filing source

Form ADV 1684095 · Oct 27, 2022 · Items 1 & 5

Reported by SAX CAPITAL LLC (CRD 288220).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.