Investment adviser · CRD 309234

APOGEM CAPITAL LLC

NEW YORK, NY, United States · Form ADV filed Sep 6, 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 1785601 · Sep 6, 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

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 PARTNERS SELECT MANAGER FUND III, LPPrivate Equity Fund · Master$370MGross asset value

Form D fundraising filings

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

GoldPoint Partners Select Manager Fund III, 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: 805-8804418300
Reported beneficial owners: 13
Minimum commitment: $5M
Form D file number: 021-241543

Form ADV 1785601 · Sep 6, 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 SECONDARY FUND V, LPPrivate Equity Fund$367MGross 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 1785601 · Sep 6, 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 SMALL COMPANY PRIVATE EQUITY FUND VI, LPPrivate Equity Fund · Master$349MGross 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 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: 805-5188011150
Reported beneficial owners: 91
Minimum commitment: $1M
Form D file number: 021-235159
Form D file number: 021-209649

Form ADV 1785601 · Sep 6, 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.

APOGEM DIRECT LENDING CLO 10 WAREHOUSE LTD.Other Private Fund$337MGross 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 →

Fund administrator SUMITOMO MITSUI BANKING CORPORATION CHIYODA CITY, TOKYO, Japan 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 SMBC NIKKO SECURITIES AMERICA, INC. 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: Yes

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

SMBC NIKKO SECURITIES AMERICA, INC.
CRD 28602 · SEC 8-43852

Fund details & source

Fund ID: 805-5406789720
Reported beneficial owners: 1
Minimum commitment: $0

Form ADV 1785601 · Sep 6, 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.

MCF CLO VIII LTD.Securitized Asset Fund$328MGross asset value

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Fund administrator WALKERS FIDUCIARY LIMITED GEORGE TOWN, Cayman Islands 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 NATIXIS SECURITIES AMERICAS LLC 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: Yes

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

NATIXIS SECURITIES AMERICAS LLC
CRD 1101 · SEC 8-719

Fund details & source

Fund ID: 805-8345899516
Reported beneficial owners: 9
Minimum commitment: $0

Form ADV 1785601 · Sep 6, 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.

MCF DIRECT LENDING LLCOther Private Fund$312MGross 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

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Fund details & source

Fund ID: 805-2398049996
Reported beneficial owners: 3
Minimum commitment: $0

Form ADV 1785601 · Sep 6, 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.

APOGEM PRIVATE EQUITY FUND X, LPPrivate Equity Fund$310MGross asset value

Form D fundraising filings

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

Apogem Private Equity Fund X, LP

Auditor PRICEWATERHOUSECOOPERS MCLEAN, Virginia, 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 →

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: 805-9998973181
Reported beneficial owners: 8
Minimum commitment: $1M
Form D file number: 021-456033

Form ADV 1785601 · Sep 6, 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 Sep 1, 2023 · previous imported filing

No comparable changes in the displayed metrics.

Filing source

Form ADV 1785601 · Sep 6, 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: $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 1785601 · Sep 6, 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.