Investment adviser · CRD 309234

APOGEM CAPITAL LLC

NEW YORK, NY, United States · Form ADV filed Dec 5, 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 1692510 · Dec 5, 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.

PRIVATE ADVISORS SMALL COMPANY BUYOUT FUND IV, LPPrivate Equity Fund$134MGross asset value

Form D fundraising filings

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

PRIVATE ADVISORS SMALL CO BUYOUT FUND IV 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 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: 805-7154290618
Reported beneficial owners: 40
Minimum commitment: $1M
Form D file number: 021-121309

Form ADV 1692510 · Dec 5, 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 SENIOR DEBT FUND 2019-I LPPrivate Equity Fund$122MGross asset value

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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 →

Provider details

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

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

Fund details & source

Fund ID: 805-4007509848
Reported beneficial owners: 3
Minimum commitment: $20M

Form ADV 1692510 · Dec 5, 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.

PA SECONDARY FUND VI COINVESTMENTS, LPPrivate Equity Fund$119MGross 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 COINVESTMENTS, 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: 805-7447548491
Reported beneficial owners: 4
Minimum commitment: $1M
Form D file number: 021-397207

Form ADV 1692510 · Dec 5, 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.

NYLCAP SELECT MANAGER FUND II, L.P.Private Equity Fund · Master$115MGross asset value

Form D fundraising filings

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

NYLCAP Select Manager Fund II, 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: 805-2954326016
Reported beneficial owners: 9
Minimum commitment: $5M
Form D file number: 021-159860

Form ADV 1692510 · Dec 5, 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 CO COINVESTMENT FUND LPPrivate Equity Fund$112MGross asset value

Form D fundraising filings

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

Private Advisors Small Co Coinvestment Fund 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 LLP MCLEAN, Virginia, United States Other funds reporting this name →

Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No 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 LLP
PCAOB 238

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

SILICON VALLEY BANK
LEI 0K2D5AK28E3O5CC06E35

Fund details & source

Fund ID: 805-9975349648
Reported beneficial owners: 13
Minimum commitment: $500K
Form D file number: 021-252368

Form ADV 1692510 · Dec 5, 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 COINVESTMENT FUND IV, L.P.Private Equity Fund$105MGross asset value

Form D fundraising filings

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

Private Advisors Coinvestment Fund IV, 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 LLP MCLEAN, Virginia, United States Other funds reporting this name →

Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No 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 LLP
PCAOB 238

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

SILICON VALLEY BANK
LEI 0K2D5AK28E3O5CC06E35

Fund details & source

Fund ID: 805-6769408601
Reported beneficial owners: 29
Minimum commitment: $500K
Form D file number: 021-242703

Form ADV 1692510 · Dec 5, 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 KB FUND II LLCPrivate Equity Fund$102MGross asset value

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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 →

Provider details

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

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

Fund details & source

Fund ID: 805-6715356363
Reported beneficial owners: 1
Minimum commitment: $0

Form ADV 1692510 · Dec 5, 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 Oct 14, 2022 · previous imported filing

No comparable changes in the displayed metrics.

Filing source

Form ADV 1692510 · Dec 5, 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 1692510 · Dec 5, 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.