Investment adviser · CRD 309234

APOGEM CAPITAL LLC

NEW YORK, NY, United States · Form ADV filed Jul 31, 2026

Regulatory AUM: $43.8B
Client accounts: 144
Employees: 259
Advisory professionals: 127

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
2023	$41,789,132,849	252	Mar 28, 2024
2024	$40,645,545,384	257	Mar 30, 2025
2025	$43,819,423,421	259	Mar 30, 2026

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	137	$23,495,086,815	53.6%
Corporations & businesses	Fewer than 5	$11,953,339,671	27.3%
Insurance companies	Fewer than 5	$8,182,629,118	18.7%
Charities	Fewer than 5	$174,940,337	0.4%
High-net-worth individuals	Fewer than 5	$13,427,480	0.0%
Investment companies	1	$0	0.0%

Filing source

Form ADV 2123386 · Jul 31, 2026 · 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.

PRICEWATERHOUSECOOPERS

Auditor · funds reporting this exact name in the selected filing

These are reported-name connections within this adviser's filing, not a verified global provider identity or market-wide client count.

Private funds & service providers

114 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 IV, LPPrivate Equity Fund · Master$880MGross 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 IV, L.P.

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

Custodian BLACKROCK, INC. NEW YORK, New York, United States Related to adviser: No 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

BLACKROCK, INC.
LEI 549300LRIF3NWCU26A80

JP MORGAN
LEI 984500653R409CC5AB28

Fund details & source

Fund ID: 805-3142196598
Reported beneficial owners: 27
Minimum commitment: $5M
Form D file number: 021-301227

Form ADV 2123386 · Jul 31, 2026 · 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.

RLP FUND LPPrivate Equity Fund$863MGross asset value

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Fund administrator GEN II FUND 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 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: 805-5209709759
Reported beneficial owners: 73
Minimum commitment: $10M

Form ADV 2123386 · Jul 31, 2026 · 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, LPPrivate Equity Fund · Master$784MGross 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, 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 BLACKROCK INC. NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian KEYBANK CLEVELAND, Ohio, United States Related to adviser: No 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 →

Provider details

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

PRICEWATERHOUSECOOPERS
PCAOB 238

BLACKROCK INC.
LEI 549300LRIF3NWCU26A80

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

Fund details & source

Fund ID: 805-9249750176
Reported beneficial owners: 109
Minimum commitment: $1M
Form D file number: 021-354835

Form ADV 2123386 · Jul 31, 2026 · 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 HERITAGE FUND VI, LPPrivate Equity Fund$774MGross asset value

Form D fundraising filings

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

Apogem Heritage Fund VI LP

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

Custodian BLACKROCK INC. NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian PNC BANK, N.A. PITTSBURGH, 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

BLACKROCK INC.
LEI 549300LRIF3NWCU26A80

PNC BANK, N.A.
LEI AD6GFRVSDT01YPT1CS68

Fund details & source

Fund ID: 805-1192205047
Reported beneficial owners: 48
Minimum commitment: $0
Form D file number: 021-485410

Form ADV 2123386 · Jul 31, 2026 · 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 US DIRECT LENDING LIMITED IPrivate Equity Fund · Master$768MGross 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 →

Fund administrator MUFG FUND SERVICES (CAYMAN) LIMITED GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all 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

COMPUTERSHARE TRUST COMPANY, N.A.
LEI 2549001YYB62BVMSAO13

Fund details & source

Fund ID: 805-5344612128
Reported beneficial owners: 2
Minimum commitment: $0

Form ADV 2123386 · Jul 31, 2026 · 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 IV, LPPrivate Equity Fund · Master$609MGross asset value

Form D fundraising filings

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

GoldPoint Mezzanine Partners IV, 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

BANK OF NEW YORK
LEI 4EP6JBYBTPTQ47LZOB67

Fund details & source

Fund ID: 805-3446925783
Reported beneficial owners: 50
Minimum commitment: $100K
Form D file number: 021-247047

Form ADV 2123386 · Jul 31, 2026 · 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 SMALL CO PRIVATE EQUITY FUND IX, LPPrivate Equity Fund · Master$563MGross asset value

Form D fundraising filings

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

PA Small Co Private Equity Fund IX, 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 BLACKROCK INC. NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Custodian KEYBANK CLEVELAND, Ohio, United States Related to adviser: No 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 →

Provider details

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

PRICEWATERHOUSECOOPERS
PCAOB 238

BLACKROCK INC.
LEI 549300LRIF3NWCU26A80

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

Fund details & source

Fund ID: 805-8153861471
Reported beneficial owners: 68
Minimum commitment: $1M
Form D file number: 021-342416

Form ADV 2123386 · Jul 31, 2026 · 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 May 14, 2026 · previous imported filing

No comparable changes in the displayed metrics.

Filing source

Form ADV 2123386 · Jul 31, 2026 · 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: $41.4B
Non-discretionary: $2.46B

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 2123386 · Jul 31, 2026 · 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.