Investment adviser · CRD 167354

MEDLEY CAPITAL LLC

Investment adviser filing (IA)

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

Regulatory AUM: $1.83B
Client accounts: 23
Employees: 42
Advisory professionals: 19

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
Insurance companies	14	$1,468,562,232	80.2%
Pooled investment vehicles	8	$362,597,278	19.8%
Corporations & businesses	1	$189,099	0.0%

Filing source

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

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

13 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

MEDLEY OPPORTUNITY FUND II LPPrivate Equity Fund · Last reported Jan 4, 2022$121MGross asset value

Fund administrator PEF SERVICES LLC WEST ORANGE, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor RSM US LLP NEW YORK, New York, United States

Custodian JP MORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No

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

Custodian U.S. BANK NATIONAL ASSOCIATION FLORENCE, North Carolina, United States Related to adviser: No

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)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

MEDLEY OPPORTUNITY FUND III LPPrivate Equity Fund · Last reported Jan 4, 2022$70.3MGross asset value

Fund administrator STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor RSM US LLP NEW YORK, New York, United States

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

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)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CADDO INVESTOR HOLDINGS I LLCPrivate Equity Fund · Last reported Jan 4, 2022$52.2MGross asset value

Auditor RSM US LLP NEW YORK, New York, United States

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

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)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ASPECT-MEDLEY INVESTMENT PLATFORM B LPPrivate Equity Fund · Last reported Jan 4, 2022$29.3MGross asset value

Fund administrator MAPLES FUND SERVICES (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian MAPLESFS LIMITED GRAND CAYMAN, Cayman Islands Related to adviser: No

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)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

MEDLEY CREDIT OPPORTUNITY FUND LPPrivate Equity Fund · Last reported Jan 4, 2022$28.6MGross asset value

Feeder funds

MEDLEY CREDIT OPPORTUNITY DLEAWARE FUND LP
MEDLEY CREDIT OPPORTUNITY FUND CAYMAN FUND LP

Fund administrator STATE STREET BANK AND TRUST BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG NEW YORK, New York, United States

Custodian STATE STREET BANK AND TRUST BOSTON, Massachusetts, United States Related to adviser: No

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)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ASPECT-MEDLEY INVESTMENT PLATFORM A LPPrivate Equity Fund · Last reported Jan 4, 2022$14.4MGross asset value

Fund administrator MAPLES FUND SERVICES (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian MAPLESFS LIMITED GRAND CAYMAN, Cayman Islands Related to adviser: No

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)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

MEDLEY OPPORTUNITY FUND OFFSHORE III LPPrivate Equity Fund · Last reported Jan 4, 2022$8.29MGross asset value

Feeder funds

MEDLEY OPPORTUNITY FUND III (CAYMAN) LTD

Fund administrator MAPLES FIDUCIARY SERVICES (CAYMAN) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor RSM US LLP NEW YORK, New York, United States

Custodian MAPLESFS LIMITED GRAND CAYMAN, Cayman Islands Related to adviser: No

Marketer NH INVESTMENTS & SECURITIES CO., LTD. SEOUL, Korea, South Related to adviser: No

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)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Jan 4, 2022. View historical filings

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

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.