Investment adviser · CRD 309234

APOGEM CAPITAL LLC

NEW YORK, NY, United States · Form ADV filed Mar 31, 2022

Regulatory AUM: $28.7B
Client accounts: 113
Employees: 205
Advisory professionals: 130

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	$28,671,215,908	205	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	107	$18,060,315,351	63.0%
Insurance companies	Fewer than 5	$9,999,539,492	34.9%
Other investment advisers	Fewer than 5	$441,908,143	1.5%
Charities	Fewer than 5	$152,538,827	0.5%
High-net-worth individuals	Fewer than 5	$16,914,095	0.1%

Filing source

Form ADV 1615529 · Mar 31, 2022 · Item 5.D

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

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

85 detailed 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.

GOLDPOINT MEZZANINE PARTNERS IV, LPPrivate Equity Fund · Master$1.4BGross asset value

Form D fundraising filings

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

GoldPoint Mezzanine Partners IV, LP

Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States Other funds reporting this name →

Custodian BANK OF NEW YORK NEW YORK, New York, 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: No
External marketing: No

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

Fund details & source

Fund ID: 805-3446925783
Reported beneficial owners: 50
Minimum commitment: $100K
Form D file number: 021-247047

Form ADV 1615529 · Mar 31, 2022 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

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.

GOLDPOINT PARTNERS CO-INVESTMENT VI, LPPrivate Equity Fund$1.24BGross asset value

Form D fundraising filings

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

GoldPoint Partners Co-Investment VI, LP

Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States Other funds reporting this name →

Custodian BANK OF NEW YORK NEW YORK, New York, 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: No
External marketing: No

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

Fund details & source

Fund ID: 805-1771072615
Reported beneficial owners: 63
Minimum commitment: $0
Form D file number: 021-291352

Form ADV 1615529 · Mar 31, 2022 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

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.

GOLDPOINT PARTNERS SELECT MANAGER FUND IV, LPPrivate Equity Fund · Master$643MGross asset value

Form D fundraising filings

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

GoldPoint Partners Select Manager Fund IV, L.P.

Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States Other funds reporting this name →

Custodian JP MORGAN NEW YORK, New York, 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: No
External marketing: No

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

Fund details & source

Fund ID: 805-3142196598
Reported beneficial owners: 27
Minimum commitment: $5M
Form D file number: 021-301227

Form ADV 1615529 · Mar 31, 2022 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

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 ADVISORS SMALL CO PRIVATE EQUITY FUND VIII, LPPrivate Equity Fund · Master$575MGross asset value

Form D fundraising filings

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

Fund administrator SS&C TECHNOLOGIES, INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Auditor PRICEWATERHOUSECOOPERS MCLEAN, Virginia, United States Other funds reporting this name →

Custodian SILICON VALLEY BANK NEW YORK, New York, 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

PRICEWATERHOUSECOOPERS
PCAOB 238

SILICON VALLEY BANK
LEI 0K2D5AK28E3O5CC06E35

Fund details & source

Fund ID: 805-7014126952
Reported beneficial owners: 50
Minimum commitment: $1M
Form D file number: 021-315970
Form D file number: 021-290384

Form ADV 1615529 · Mar 31, 2022 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

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.

PA SMALL CO PRIVATE EQUITY FUND IX, LPPrivate Equity Fund · Master$519MGross asset value

Form D fundraising filings

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

PA Small Co Private Equity Fund IX, LP

Fund administrator SS&C TECHNOLOGIES, INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Auditor PRICEWATERHOUSECOOPERS MCLEAN, Virginia, United States Other funds reporting this name →

Custodian KEYBANK CLEVELAND, Ohio, 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

PRICEWATERHOUSECOOPERS
PCAOB 238

Fund details & source

Fund ID: 805-8153861471
Reported beneficial owners: 58
Minimum commitment: $1M
Form D file number: 021-342416

Form ADV 1615529 · Mar 31, 2022 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

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 ADVISORS SMALL CO PRIVATE EQUITY FUND VII, LPPrivate Equity Fund · Master$507MGross asset value

Form D fundraising filings

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

Fund administrator SS&C TECHNOLOGIES, INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Auditor PRICEWATERHOUSECOOPERS MCLEAN, Virginia, United States Other funds reporting this name →

Custodian SILICON VALLEY BANK NEW YORK, New York, 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

PRICEWATERHOUSECOOPERS
PCAOB 238

SILICON VALLEY BANK
LEI 0K2D5AK28E3O5CC06E35

Fund details & source

Fund ID: 805-9702966829
Reported beneficial owners: 52
Minimum commitment: $1M
Form D file number: 021-250458
Form D file number: 021-290382

Form ADV 1615529 · Mar 31, 2022 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

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.

RIDGELAKE PARTNERS, LPPrivate Equity Fund$493MGross asset value

Search Form D filings →

Fund administrator GEN II FUND SERVICES, LLC NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Auditor PRICEWATERHOUSECOOPERS LLP MCLEAN, Virginia, United States Other funds reporting this name →

Custodian SILICON VALLEY BANK NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Marketer NYLIFE DISTRIBUTORS LLC JERSEY CITY, New Jersey, United States Related to adviser: Yes Other funds reporting this name →

Provider details

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

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

NYLIFE DISTRIBUTORS LLC
CRD 35350 · SEC 8-46655

Fund details & source

Fund ID: 805-5209709759
Reported beneficial owners: 4
Minimum commitment: $1M

Form ADV 1615529 · Mar 31, 2022 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

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

View a filing

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

What changed?

Since Mar 4, 2022 · previous imported filing

Regulatory AUM$25,015,396,255 → $28,671,215,908
Client accounts106 → 113
Employees230 → 205
Legal nameNEW YORK LIFE INVESTMENTS ALTERNATIVES LLC → APOGEM CAPITAL LLC

Filing source

Form ADV 1615529 · Mar 31, 2022 · Items 1 & 5

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

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: $27B
Non-discretionary: $1.65B

Reported services

Individual portfolio management · Pooled investment vehicle management · Business portfolio management · Selection of other advisers

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

299 PARK AVENUE, 37TH FLOOR
NEW YORK, NY, 10171, United States

CRD 309234

Filing source

Form ADV 1615529 · Mar 31, 2022 · Items 1 & 5

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2021.

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.