Investment adviser · CRD 309234

APOGEM CAPITAL LLC

NEW YORK, NY, United States · Form ADV filed Mar 31, 2023

Regulatory AUM: $40.3B
Client accounts: 113
Employees: 228
Advisory professionals: 116

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
2022	$40,295,545,716	228	Mar 31, 2023

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	$28,920,094,889	71.8%
Insurance companies	Fewer than 5	$10,826,235,254	26.9%
Other investment advisers	Fewer than 5	$363,575,161	0.9%
Charities	Fewer than 5	$171,409,516	0.4%
High-net-worth individuals	Fewer than 5	$14,230,896	0.0%

Filing source

Form ADV 1717977 · Mar 31, 2023 · Item 5.D

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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

88 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 PRIVATE CREDIT FUND, LPPrivate Equity Fund$256MGross asset value

Form D fundraising filings

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

GoldPoint Private Credit Fund, LP

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

Custodian BANK OF NEW YORK MELLON 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: 805-9684678070
Reported beneficial owners: 2
Minimum commitment: $0
Form D file number: 021-296735

Form ADV 1717977 · Mar 31, 2023 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 MIDDLE MARKET FUND, LPPrivate Equity Fund$232MGross asset value

Form D fundraising filings

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

PA Middle Market Fund, LP

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 PNC BANK, N.A. PITTSBURGH, Pennsylvania, 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

PNC BANK, N.A.
LEI AD6GFRVSDT01YPT1CS68

Fund details & source

Fund ID: 805-1740200882
Reported beneficial owners: 3
Minimum commitment: $1M
Form D file number: 021-328718

Form ADV 1717977 · Mar 31, 2023 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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$221MGross 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 →

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: 805-7447548491
Reported beneficial owners: 5
Minimum commitment: $1M
Form D file number: 021-397207

Form ADV 1717977 · Mar 31, 2023 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 BUYOUT FUND V, LPPrivate Equity Fund$205MGross 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 V, L.P.

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 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian PNC BANK, N.A. PITTSBURGH, Pennsylvania, 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

PNC BANK, N.A.
LEI AD6GFRVSDT01YPT1CS68

Fund details & source

Fund ID: 805-7311795504
Reported beneficial owners: 53
Minimum commitment: $1M
Form D file number: 021-171166

Form ADV 1717977 · Mar 31, 2023 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 REAL ASSETS FUND, LPPrivate Equity Fund$204MGross asset value

Form D fundraising filings

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

Private Advisors Real Assets 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 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 PNC BANK, N.A. PITTSBURGH, Pennsylvania, 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

PNC BANK, N.A.
LEI AD6GFRVSDT01YPT1CS68

Fund details & source

Fund ID: 805-2531014085
Reported beneficial owners: 105
Minimum commitment: $1M
Form D file number: 021-249929

Form ADV 1717977 · Mar 31, 2023 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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.

APOGEM COINVESTMENT VII, LPPrivate Equity Fund$200MGross asset value

Search Form D filings →

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

Custodian BANK OF NEW YORK MELLON 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: No
External marketing: Yes

PRICEWATERHOUSECOOPERS
PCAOB 238

NYLIFE DISTRIBUTORS LLC
CRD 35350 · SEC 8-46655

Fund details & source

Fund ID: 805-3689526693
Reported beneficial owners: 1
Minimum commitment: $0

Form ADV 1717977 · Mar 31, 2023 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 PD FUND LPPrivate Equity Fund$195MGross 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 →

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: 805-6296060075
Reported beneficial owners: 1
Minimum commitment: $0

Form ADV 1717977 · Mar 31, 2023 · Schedule D 7.B.(1)

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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 Jan 20, 2023 · previous imported filing

Regulatory AUM$28,671,215,908 → $40,295,545,716
Employees205 → 228

Filing source

Form ADV 1717977 · Mar 31, 2023 · Items 1 & 5

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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: $38.7B
Non-discretionary: $1.55B

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 1717977 · Mar 31, 2023 · Items 1 & 5

Reported by APOGEM CAPITAL LLC (CRD 309234).

Annual Updating Amendment for Registered Adviser · fiscal year 2022.

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.