APOGEM CAPITAL LLC
Latest filing: Mar 30, 2025 (31 days ago)
AUM
$40,645,545,384
-3% change vs. 1 year ago
42% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
257
2% change vs. 1 year ago
25% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Main Office
NEW YORK, NY
299 PARK AVENUE, NEW YORK, NY, UNITED STATES, 10171
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $38.8 |
| Non-Discretionary | $1.9 |
| Total | $40.6 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $21.4 |
| Institutional | $19.3 |
| Total | $40.6 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $19.3 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $19.3 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 100% | $19.3 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $19.3 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| NYL INVESTORS LLC | $312.2 | 169553 | |
| MACKAY SHIELDS LLC | $151.6 | 107717 | |
| CANDRIAM, SOCIÉTÉ EN COMMANDITE PAR ACTIONS | $128.7 | 173355 | |
| NEW YORK LIFE INVESTMENT MANAGEMENT LLC | $113.2 | 109591 | |
| EAGLE STRATEGIES LLC | $25.4 | 110826 | |
| AUSBIL INVESTMENT MANAGEMENT LIMITED | $12.6 | 289468 | |
| INDEXIQ ADVISORS LLC | $10.4 | 144790 | |
| FLATIRON RR LLC, MANAGER SERIES | $0.8 | 314505 | |
| BOW RIVER ADVISERS, LLC | $0.7 | 325285 | |
| GOLDPOINT PARTNERS CANADA III GENPAR INC. | $0.0 | - | |
| PASCPEF VIII GP, LLC | $0.0 | - | |
| NYLIFE INSURANCE COMPANY OF ARIZONA | $0.0 | - | |
| APOGEM COINVESTMENT VII GENPAR, LP | $0.0 | - | |
| GOLDPOINT PARTNERS CANADA V GENPAR GP INC. | $0.0 | - | |
| GOLDPOINT PARTNERS SELECT MANAGER V GENPAR GP, LLC | $0.0 | - | |
| CUYAHOGA CAPITAL EMERGING BUYOUT PARTNERS MANAGEMENT GROUP LLC | $0.0 | - | |
| SAF GP, LLC | $0.0 | - | |
| PACD MM, LLC | $0.0 | - | |
| NEW YORK LIFE TRUST COMPANY | $0.0 | trust company | - |
| NYLINK INSURANCE AGENCY INC. | $0.0 | - | |
| BMG PAPM GP, LLC | $0.0 | - | |
| CUYAHOGA CAPITAL PARTNERS IV MANAGEMENT GROUP LLC | $0.0 | - | |
| GOLDPOINT PARTNERS SELECT MANAGER IV GENPAR, L.P. | $0.0 | - | |
| PASCPEF VII GP, LLC | $0.0 | - | |
| GOLDPOINT PARTNERS SELECT MANAGER III GENPAR GP, LLC | $0.0 | - | |
| NEW YORK LIFE CAPITAL PARTNERS IV GENPAR, L.P. | $0.0 | - | |
| MACKAY SHIELDS EUROPE INVESTMENT MANAGEMENT LIMITED | $0.0 | 306388 | |
| PASCBF IV GP, LLC | $0.0 | - | |
| RIDGELAKE PARTNERS GP, LLC | $0.0 | - | |
| PASCBF V CARRY, LLC | $0.0 | - | |
| MADISON CAPITAL FUNDING LLC | $0.0 | - | |
| LIFE INSURANCE COMPANY OF NORTH AMERICA | $0.0 | - | |
| PASCPEF VII CARRY, LLC | $0.0 | - | |
| MCF CO-INVESTMENT GP LLC | $0.0 | - | |
| PASCBF IV CARRY, LLC | $0.0 | - | |
| KARTESIA MANAGEMENT SÀRL | $0.0 | 289175 | |
| PACIF II GP, LLC | $0.0 | - | |
| PAMMF GP, LLC | $0.0 | - | |
| GOLDPOINT PARTNERS PRIVATE DEBT V GENPAR, LP | $0.0 | - | |
| GOLDPOINT PARTNERS CO-INVESTMENT V GENPAR, LP | $0.0 | - | |
| WASHINGTON PIKE GP, LLC | $0.0 | - | |
| PARAF II GP, LLC | $0.0 | - | |
| GOLDPOINT PARTNERS CANADA IV GENPAR GP INC. | $0.0 | - | |
| PA REAL ASSETS CARRY II, LLC | $0.0 | - | |
| GOLDPOINT MEZZANINE PARTNERS IV GENPAR, LP | $0.0 | - | |
| APEF X GP, LLC | $0.0 | - | |
| PASF VI GP, LLC | $0.0 | - | |
| GOLDPOINT PARTNERS SELECT MANAGER III GENPAR, L.P. | $0.0 | - | |
| PARAF III GP, LLC | $0.0 | - | |
| PASCBF V GP, LLC | $0.0 | - | |
| PA EMERGING MANAGER CARRY, LLC | $0.0 | - | |
| MCF CO-INVESTMENT GP LP | $0.0 | - | |
| PACIF IV CARRY, LLC | $0.0 | - | |
| PA EMERGING MANAGER CARRY II, LLC | $0.0 | - | |
| PASF V GP, LLC | $0.0 | - | |
| PASCPEF IX GP, LLC | $0.0 | - | |
| RIC I CARRY, LLC | $0.0 | - | |
| GOLDPOINT PARTNERS SELECT MANAGER V GENPAR, L.P. | $0.0 | - | |
| PASCCIF GP, LLC | $0.0 | - | |
| TRISTAN CAPITAL PARTNERS | $0.0 | - | |
| PACIF IV GP, LLC | $0.0 | - | |
| GOLDPOINT PARTNERS CO-INVESTMENT VI GENPAR, L.P. | $0.0 | - | |
| PACIF III GP, LLC | $0.0 | - | |
| NYLIFE SECURITIES LLC | $0.0 | broker-dealer | 5167 |
| NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION | $0.0 | - | |
| PASF V CARRY, LLC | $0.0 | - | |
| NEW YORK LIFE INSURANCE COMPANY | $0.0 | - | |
| ASF VII GP, LLC | $0.0 | - | |
| AHF VI GENPAR LP | $0.0 | - | |
| WASHINGTON PIKE GP, LLC - SERIES B | $0.0 | - | |
| AHF V GENPAR LP | $0.0 | - | |
| GOLDPOINT PARTNERS CANADA GENPAR INC. | $0.0 | - | |
| PASCCIF CARRY, LLC | $0.0 | - | |
| PASCCIF II GP, LLC | $0.0 | - | |
| RIC I GP, LLC | $0.0 | - | |
| PASCPEF VI CARRY, LLC | $0.0 | - | |
| MADISON AVENUE LOAN FUND GP LLC | $0.0 | - | |
| PACIF III CARRY, LLC | $0.0 | - | |
| PASCPEF VI GP, LLC | $0.0 | - | |
| NYLCAP MEZZANINE PARTNERS III GENPAR, LP | $0.0 | - | |
| PACIF II CARRY, LLC | $0.0 | - | |
| NYLIFE DISTRIBUTORS LLC | $0.0 | broker-dealer | 35350 |
| PARAF GP, LLC | $0.0 | - | |
| PARAF CARRY, LLC | $0.0 | - | |
| NEW YORK LIFE GROUP INSURANCE COMPANY OF NY | $0.0 | - | |
| NYLCAP SELECT MANAGER II GENPAR, L.P. | $0.0 | - | |
| MACKAY SHIELDS UK LLP | $0.0 | 167939 | |
| NEW YORK LIFE ENTERPRISES LLC | $0.0 | - | |
| SEGUROS MONTERREY NEW YORK LIFE, S.A. DE C.V. MEXICO | $0.0 | - | |
| GOLDPOINT PRIVATE CREDIT GENPAR GP, LLC | $0.0 | - | |
| PA REAL ASSETS CARRY, LLC | $0.0 | - | |
| NEW YORK LIFE INVESTMENT MANAGEMENT ASIA LIMITED | $0.0 | - | |
| NYLCAP CANADA II GENPAR INC. | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
13 active
| Name | Title |
|---|---|
| HARTE, FRANCIS, MICHAEL | BOARD MEMBER |
| HENDRY, THOMAS, ALEXANDER | BOARD MEMBER |
| YOON, JAE SUNG | BOARD MEMBER |
| MALLOY, ANTHONY, RAMSEY | BOARD MEMBER |
| GRADY, JOHN, MICHAEL | SENIOR MANAGING DIRECTOR & CHIEF FINANCIAL OFFICER |
| STRINGER, CHRISTOPHER, RYAN | PRESIDENT |
| ABOU-JAOUDE, NAIM, (NMN) | BOARD MEMBER, CHAIR |
| POWER, KEVIN, JOHN | CHIEF COMPLIANCE OFFICER |
| KARAOGLAN, ALAIN, MAURICE | BOARD MEMBER |
| NIEDNER, JOSHUA, MORGAN | CHIEF EXECUTIVE OFFICER |
| WARNER, STUART, ANDRÉ | GENERAL COUNSEL |
ADVDB.CO • SOURCE: SEC
Representatives
2 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ZACHARY MCCARROLL | NEW YORK | NY | S63|2015-01-09 | ||||||
| BRENDAN BOSTOCK | NEW YORK | NY | S66|2013-09-05 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-04-21 | $40.6 | $0.0 | 0% | 257 | 0 | 0% |
| 2024-04-02 | $41.8 | -$1.1 | -3% | 252 | 5 | 2% |
| 2023-04-04 | $40.3 | $0.3 | 1% | 228 | 29 | 13% |
| 2022-04-01 | $28.7 | $12.0 | 42% | 205 | 52 | 25% |
| 2021-04-05 | $25.0 | $15.6 | 62% | 230 | 27 | 12% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, DE-06/03/2020, IL-06/05/2020, NY-06/03/2020, OH-06/03/2020, TX-06/03/2020, VA-06/03/2020 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
|
REP BROKER DEALER COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV