Investment adviser · CRD 167354

MEDLEY CAPITAL LLC

NEW YORK, NY, United States · Form ADV filed Jan 4, 2022

Regulatory AUM
$1.83B
Form ADV · Item 5.F
Client accounts
23
Accounts, not individual clients
Employees
42
Reported in this filing
Advisory professionals
19
Investment advisory functions

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client typeClientsRegulatory assetsShare of AUM
Insurance companies14$1,468,562,23280.2%
Pooled investment vehicles8$362,597,27819.8%
Corporations & businesses1$189,0990.0%
Filing source

Form ADV 1579791 · Jan 4, 2022 · Item 5.D

Reported by MEDLEY CAPITAL LLC (CRD 167354).

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

8 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.

MEDLEY OPPORTUNITY FUND II LPPrivate Equity Fund$121MGross asset value

Form D fundraising filings

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

Fund administrator PEF SERVICES LLC WEST ORANGE, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor RSM US LLP NEW YORK, New York, United States Other funds reporting this name →
Custodian JP MORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →
Custodian KEYBANK NATIONAL ASSOCIATION CLEVELAND, Ohio, United States Related to adviser: No Other funds reporting this name →
Custodian U.S. BANK NATIONAL ASSOCIATION FLORENCE, 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
No

RSM US LLP
PCAOB 49

Fund details & source
Fund ID
805-1291685132
Reported beneficial owners
31
Minimum commitment
$10M
Form D file number
021-164540

Form ADV 1579791 · Jan 4, 2022 · Schedule D 7.B.(1)

Reported by MEDLEY CAPITAL LLC (CRD 167354).

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.

MEDLEY OPPORTUNITY FUND III LPPrivate Equity Fund$70.3MGross asset value

Form D fundraising filings

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

Fund administrator STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor RSM US LLP NEW YORK, New York, United States Other funds reporting this name →
Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, 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

RSM US LLP
PCAOB 49

Fund details & source
Fund ID
805-8131556921
Reported beneficial owners
8
Minimum commitment
$100K
Form D file number
021-232238

Form ADV 1579791 · Jan 4, 2022 · Schedule D 7.B.(1)

Reported by MEDLEY CAPITAL LLC (CRD 167354).

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.

CADDO INVESTOR HOLDINGS I LLCPrivate Equity Fund$52.2MGross asset value
Search Form D filings →
Auditor RSM US LLP NEW YORK, New York, United States Other funds reporting this name →
Custodian KEYBANK NATIONAL ASSOCIATION 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
No
External marketing
No

RSM US LLP
PCAOB 49

Fund details & source
Fund ID
805-1363424410
Reported beneficial owners
3
Minimum commitment
$0

Form ADV 1579791 · Jan 4, 2022 · Schedule D 7.B.(1)

Reported by MEDLEY CAPITAL LLC (CRD 167354).

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.

ASPECT-MEDLEY INVESTMENT PLATFORM B LPPrivate Equity Fund$29.3MGross asset value
Search Form D filings →
Fund administrator MAPLES FUND SERVICES (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor ERNST & YOUNG LLP NEW YORK, New York, United States Other funds reporting this name →
Custodian MAPLESFS LIMITED GRAND CAYMAN, Cayman Islands 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

ERNST & YOUNG LLP
PCAOB 42

Fund details & source
Fund ID
805-9487983576
Reported beneficial owners
1
Minimum commitment
$0

Form ADV 1579791 · Jan 4, 2022 · Schedule D 7.B.(1)

Reported by MEDLEY CAPITAL LLC (CRD 167354).

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.

MEDLEY CREDIT OPPORTUNITY FUND LPPrivate Equity Fund · Master$28.6MGross asset value
Search Form D filings →
Fund administrator STATE STREET BANK AND TRUST BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor ERNST & YOUNG NEW YORK, New York, United States Other funds reporting this name →
Custodian STATE STREET BANK AND TRUST BOSTON, Massachusetts, 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

ERNST & YOUNG
PCAOB 42

Fund details & source
Fund ID
805-1596123945
Reported beneficial owners
3
Minimum commitment
$10M
Form D file number
021-264400

Form ADV 1579791 · Jan 4, 2022 · Schedule D 7.B.(1)

Reported by MEDLEY CAPITAL LLC (CRD 167354).

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.

ASPECT-MEDLEY INVESTMENT PLATFORM A LPPrivate Equity Fund$14.4MGross asset value
Search Form D filings →
Fund administrator MAPLES FUND SERVICES (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor ERNST & YOUNG LLP NEW YORK, New York, United States Other funds reporting this name →
Custodian MAPLESFS LIMITED GRAND CAYMAN, Cayman Islands 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

ERNST & YOUNG LLP
PCAOB 42

Fund details & source
Fund ID
805-5570110440
Reported beneficial owners
1
Minimum commitment
$0

Form ADV 1579791 · Jan 4, 2022 · Schedule D 7.B.(1)

Reported by MEDLEY CAPITAL LLC (CRD 167354).

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.

MEDLEY OPPORTUNITY FUND OFFSHORE III LPPrivate Equity Fund · Master$8.29MGross asset value
Search Form D filings →
Fund administrator MAPLES FIDUCIARY SERVICES (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor RSM US LLP NEW YORK, New York, United States Other funds reporting this name →
Custodian MAPLESFS LIMITED GRAND CAYMAN, Cayman Islands Related to adviser: No Other funds reporting this name →
Marketer NH INVESTMENTS & SECURITIES CO., LTD. SEOUL, Korea, South 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

RSM US LLP
PCAOB 49

Fund details & source
Fund ID
805-4067713102
Reported beneficial owners
1
Minimum commitment
$0

Form ADV 1579791 · Jan 4, 2022 · Schedule D 7.B.(1)

Reported by MEDLEY CAPITAL LLC (CRD 167354).

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

Showing values from the selected filing. Latest observed filing does not establish current registration status.

What changed?

No comparable changes in the displayed metrics.

Filing source

Form ADV 1579791 · Jan 4, 2022 · Items 1 & 5

Reported by MEDLEY CAPITAL LLC (CRD 167354).

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
$763M
Non-discretionary
$1.07B
Filing history · 0 annual filings

Adviser-level financial and staffing figures are unavailable in these annual filings. Select a filing to view its reported funds and providers.

    Reported services

    Pooled investment vehicle management · Business portfolio management

    Compensation

    Percentage of assets · Performance-based

    Principal office

    100 PARK AVENUE, 16TH FLOOR
    NEW YORK, NY, 10017, United States

    CRD 167354

    Filing source

    Form ADV 1579791 · Jan 4, 2022 · Items 1 & 5

    Reported by MEDLEY CAPITAL LLC (CRD 167354).

    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.