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.

WASHINGTON PIKEPrivate Equity Fund$79.2MGross asset value

Form D fundraising filings

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

Washington Pike, LP

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: No
External marketing: No

PRICEWATERHOUSECOOPERS
PCAOB 238

PNC BANK, N.A.
LEI AD6GFRVSDT01YPT1CS68

Fund details & source

Fund ID: 805-7165426654
Reported beneficial owners: 4
Minimum commitment: $1M
Form D file number: 021-327591

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 KB FUND II LLCPrivate Equity Fund$78.8MGross 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: 805-6715356363
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.

GOLDPOINT CORE OPPORTUNITIES FUND, L.P. SERIES INTERESTS OF THE SALI MULTI-SERIES FUND, L.P.Private Equity Fund$76.6MGross asset value

Form D fundraising filings

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

SALI Multi-Series Fund, L.P.

Fund administrator SS&C 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 NEW YORK, New York, United States Other funds reporting this name →

Custodian BNY 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: Yes
External marketing: No

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

Fund details & source

Fund ID: 805-9292652169
Reported beneficial owners: 2
Minimum commitment: $5M
Form D file number: 021-76044

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.

APCAP STRATEGIC PARTNERSHIP I LLCPrivate Equity Fund$75.5MGross asset value

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

Custodian JPMORGAN CHASE BANK, N.A. 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
PCAOB 238

Fund details & source

Fund ID: 805-6529140010
Reported beneficial owners: 1
Minimum commitment: $1M

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.

NEW YORK LIFE CAPITAL PARTNERS IV, L.P.Private Equity Fund$68.8MGross 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 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.

TETRA OPPORTUNITIES PARTNERS SERIES INTERESTS OF THE SALI SVW MULTI-SERIES FUND, L.P.Other Private Fund$68.1MGross asset value

Form D fundraising filings

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

SALI SVW Multi-Series Fund, L.P.

Fund administrator SS&C 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 NEW YORK, New York, United States Other funds reporting this name →

Custodian FIRST REPUBLIC TRUST COMPANY NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Marketer EXECUTIVE SERVICES SECURITIES, LLC ATLANTA, Georgia, 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

EXECUTIVE SERVICES SECURITIES, LLC
CRD 25299

Fund details & source

Fund ID: 805-2934600168
Reported beneficial owners: 1
Minimum commitment: $10M
Form D file number: 021-334544

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.

RICHMOND COINVESTMENT PARTNERS I, LPPrivate Equity Fund$57.2MGross asset value

Search Form D filings →

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 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 LLP
PCAOB 238

PNC BANK, N.A.
LEI AD6GFRVSDT01YPT1CS68

Fund details & source

Fund ID: 805-6035742283
Reported beneficial owners: 9
Minimum commitment: $500K

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.