Investment adviser · CRD 309234

APOGEM CAPITAL LLC

NEW YORK, NY, United States · Form ADV filed May 16, 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 1652146 · May 16, 2022 · Item 5.D

Reported by APOGEM CAPITAL LLC (CRD 309234).

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

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.

PA SECONDARY FUND VI, LPPrivate Equity Fund · Master$457MGross asset value

Form D fundraising filings

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

PA Secondary Fund VI, 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 →

Marketer NYLIFE DISTRIBUTORS LLC JERSEY CITY, New Jersey, 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: Yes

PRICEWATERHOUSECOOPERS
PCAOB 238

NYLIFE DISTRIBUTORS LLC
CRD 35350 · SEC 8-46655

Fund details & source

Fund ID: 805-9249750176
Reported beneficial owners: 92
Minimum commitment: $1M
Form D file number: 021-354835

Form ADV 1652146 · May 16, 2022 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

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 ADVISORS HEDGED EQUITY MASTER FUND, LTDHedge Fund · Master$450MGross 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 LLP MCLEAN, Virginia, United States Other funds reporting this name →

Custodian BNP PARIBAS BANK & TRUST CAYMAN LIMITED GRAND CAYMAN, Cayman Islands Related to adviser: No Other funds reporting this name →

Custodian BTIG, LLC SAN FRANCISCO, California, United States Related to adviser: No Other funds reporting this name →

Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, United States Related to adviser: No Other funds reporting this name →

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

See filing for more → Showing the first 6 providers by role and name. IAPD may show a newer filing.

Provider details

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

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

BNP PARIBAS BANK & TRUST CAYMAN LIMITED
LEI 213800V3EY3231JUM249

BTIG, LLC
SEC 8-65473

FIRST REPUBLIC BANK
LEI YWC0TIKBQM2JV8L4IV08

GOLDMAN SACHS & CO. LLC
SEC 8-129

Fund details & source

Fund ID: 805-7732827835
Reported beneficial owners: 34
Minimum commitment: $1M
Form D file number: 021-129318
Form D file number: 021-53697

Form ADV 1652146 · May 16, 2022 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

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.

MCF CLO IV LLCSecuritized Asset Fund$449MGross asset value

Search Form D filings →

Fund administrator COMPUTERSHARE TRUST COMPANY, N.A. MINNEAPOLIS, Minnesota, United States Investor statements: No (provided to no investors) Related to adviser: No Other funds reporting this name →

Auditor PRICEWATERHOUSECOOPERS LLP CHICAGO, Illinois, United States Other funds reporting this name →

Custodian COMPUTERSHARE TRUST COMPANY, N.A. COLUMBIA, Maryland, United States Related to adviser: No Other funds reporting this name →

Marketer WELLS FARGO SECURITIES LLC CHARLOTTE, North Carolina, 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: Yes

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

Fund details & source

Fund ID: 805-3140547769
Reported beneficial owners: 2
Minimum commitment: $0

Form ADV 1652146 · May 16, 2022 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

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 ADVISORS SECONDARY FUND V, LPPrivate Equity Fund$447MGross asset value

Form D fundraising filings

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

Private Advisors Secondary Fund V, 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: 805-6046554129
Reported beneficial owners: 164
Minimum commitment: $1M
Form D file number: 021-242707

Form ADV 1652146 · May 16, 2022 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

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 ADVISORS SMALL COMPANY PRIVATE EQUITY FUND VI, LPPrivate Equity Fund · Master$436MGross 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: 805-5188011150
Reported beneficial owners: 91
Minimum commitment: $1M
Form D file number: 021-209649
Form D file number: 021-235159

Form ADV 1652146 · May 16, 2022 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

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.

MCF CLO VI LLCSecuritized Asset Fund$435MGross asset value

Search Form D filings →

Auditor PRICEWATERHOUSECOOPERS LLP CHICAGO, Illinois, United States Other funds reporting this name →

Custodian COMPUTERSHARE TRUST COMPANY, N.A. COLUMBIA, Maryland, United States Related to adviser: No Other funds reporting this name →

Marketer WELLS FARGO SECURITIES LLC CHARLOTTE, North Carolina, 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: Yes

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

Fund details & source

Fund ID: 805-4276732136
Reported beneficial owners: 6
Minimum commitment: $0

Form ADV 1652146 · May 16, 2022 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

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.

GOLDPOINT PARTNERS CO-INVESTMENT V, LPPrivate Equity Fund$418MGross 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 V, 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: 805-9667558626
Reported beneficial owners: 31
Minimum commitment: $0
Form D file number: 021-186954

Form ADV 1652146 · May 16, 2022 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

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

View a filing

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

What changed?

Since Mar 31, 2022 · previous imported filing

No comparable changes in the displayed metrics.

Filing source

Form ADV 1652146 · May 16, 2022 · Items 1 & 5

Reported by APOGEM CAPITAL LLC (CRD 309234).

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: $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 1652146 · May 16, 2022 · Items 1 & 5

Reported by APOGEM CAPITAL LLC (CRD 309234).

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.