Investment adviser · CRD 309234

APOGEM CAPITAL LLC

NEW YORK, NY, United States · Form ADV filed Jan 20, 2023

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 1703393 · Jan 20, 2023 · 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

82 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.

RICHMOND COINVESTMENT PARTNERS I, LP- SERIES IIIPrivate Equity Fund$25MGross asset value

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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 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

SILICON VALLEY BANK
LEI 0K2D5AK28E3O5CC06E3

Fund details & source

Fund ID: 805-8079281622
Reported beneficial owners: 1
Minimum commitment: $500K

Form ADV 1703393 · Jan 20, 2023 · 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 MEZZANINE PARTNERS CO-INVESTMENT FUND A, LPPrivate Equity Fund$21MGross asset value

Form D fundraising filings

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

GoldPoint Mezzanine Partners Co-Investment Fund A, 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: 805-8021069404
Reported beneficial owners: 5
Minimum commitment: $1M
Form D file number: 021-260166

Form ADV 1703393 · Jan 20, 2023 · 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.

MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2016Private Equity Fund$21MGross asset value

Form D fundraising filings

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

Madison Capital Funding Co-Investment Fund LP

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

Custodian JP MORGAN CHASE BANK MANHATTAN, 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: 805-5243456260
Reported beneficial owners: 34
Minimum commitment: $10K
Form D file number: 021-256205

Form ADV 1703393 · Jan 20, 2023 · 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 FUND-A, LPPrivate Equity Fund$20.6MGross 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 Fund A, 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: 805-3139475088
Reported beneficial owners: 12
Minimum commitment: $0
Form D file number: 021-260170

Form ADV 1703393 · Jan 20, 2023 · 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.

MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2015Private Equity Fund$19.9MGross asset value

Form D fundraising filings

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

Madison Capital Funding Co-Investment Fund LP

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

Custodian JP MORGAN CHASE BANK MANHATTAN, 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: 805-6330541587
Reported beneficial owners: 26
Minimum commitment: $10K
Form D file number: 021-233475

Form ADV 1703393 · Jan 20, 2023 · 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 II, LPPrivate Equity Fund$18.4MGross 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 II, L.P.

Fund administrator SS&C FINANCIAL 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 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
PCAOB 238

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

SILICON VALLEY BANK
LEI 0K2D5AK28E3O5CC06E35

Fund details & source

Fund ID: 805-6552816111
Reported beneficial owners: 46
Minimum commitment: $500K
Form D file number: 021-141063

Form ADV 1703393 · Jan 20, 2023 · 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.

NEW YORK LIFE CAPITAL PARTNERS IV, L.P.Private Equity Fund$15.5MGross asset value

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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: 805-8229958762
Reported beneficial owners: 6
Minimum commitment: $0

Form ADV 1703393 · Jan 20, 2023 · 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 Dec 5, 2022 · previous imported filing

No comparable changes in the displayed metrics.

Filing source

Form ADV 1703393 · Jan 20, 2023 · 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 1703393 · Jan 20, 2023 · 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.