DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Apogem Capital LLC
Latest filing Sep 14, 2026
First filing on the tape May 4, 2020 · 35 filings
SEC status approved since Jun 3, 2020
RAUM
$44B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
0.0%
$13.4M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$22B
derived; firm RAUM over IAPD count
Employees
259
127 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$44B as of Jul 31, 2026
Mar 31, 2021$25B then
HNW client RAUM$13.4M as of Jul 31, 2026
Mar 31, 2021$12.9M then
State-registered IARs (5.B.3)2 as of Jul 31, 2026
Mar 31, 20212 then
Employees (5.A)259 as of Jul 31, 2026
Mar 31, 2021230 then
Private funds114 as of Jul 31, 2026
Mar 31, 202181 then
RAUM +7.8% over the last fiscal year+2.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $22BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.4MderivedHNW RAUM over HNW clients
- Average account
- $304MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 129.5derivedItem 5.A over advisors
- Advisors per office
- 0.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $9.1B, 4 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$23B54%
- Corporations and businesses$12B27%
- Insurance companies$8.2B19%
- Charitable organizations$175M0.4%
- High-net-worth individuals$13.4M0.0%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 144reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.1B for 4 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.54 institutional_share=0.19 related_bd=true related_bank=true bd_reps=53.0 bank_owner=falsederived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Zachary Cade Mccarroll | Austin, Tx | Jun 10, 2020 | 12 y | 1 |
| Aleksandra Kurzydlowski | New York, Ny | Sep 15, 2025 | 13 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Aleksandra Kurzydlowski from Cresset Asset Management, LLCSep 15, 2025 · Other
Private funds
120 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Goldpoint Mezzanine Partners IV, LP | Private Equity Fund | $1.2B | 50 | Mar 29, 2016 |
| Apogem Heritage Fund Vi, LP | Private Equity Fund | $1.0B | 48 | Mar 28, 2024 |
| Goldpoint Partners Select Manager Fund IV, LP | Private Equity Fund | $967M | 27 | Mar 28, 2018 |
| Private Advisors Small Co Private Equity Fund Viii, LP | Private Equity Fund | $565M | 52 | Mar 28, 2018 |
| Goldpoint Partners Private Debt V, LP | Private Equity Fund | $510M | 25 | Mar 30, 2020 |
| Pa Small Co Private Equity Fund Ix, LP | Private Equity Fund | $486M | 68 | Mar 30, 2020 |
| Pa Secondary Fund Vi, LP | Private Equity Fund | $475M | 109 | Mar 30, 2020 |
| Mcf Kb Fund III LLC | Private Equity Fund | $468M | 1 | Mar 31, 2022 |
| Mcf Clo IV LLC | Securitized Asset Fund | $454M | 2 | May 20, 2013 |
| Mcf Clo 10 Ltd. | Other Private Fund | $427M | 2 | Mar 31, 2023 |
| Mcf Clo Vi LLC | Securitized Asset Fund | $401M | 6 | Mar 28, 2018 |
| Goldpoint Partners Select Manager Fund V, LP | Private Equity Fund | $370M | 20 | Jun 19, 2020 |
| Private Advisors Real Assets Fund II, LP | Private Equity Fund | $338M | 86 | Mar 28, 2018 |
| Private Advisors Small Co Private Equity Fund Vii, LP | Private Equity Fund | $335M | 52 | Mar 23, 2016 |
| Mcf Direct Lending LLC | Securitized Asset Fund | $314M | 3 | Mar 31, 2022 |
| Mcf Clo V LLC | Securitized Asset Fund | $309M | 2 | May 20, 2015 |
| Mcf Senior Debt Fund - 2020 LP | Private Equity Fund | $309M | 1 | Mar 31, 2021 |
| Mcf Clo Vii LLC | Securitized Asset Fund | $307M | 3 | Jul 15, 2016 |
| Goldpoint Partners Select Manager Fund III, LP | Private Equity Fund | $302M | 13 | Mar 29, 2016 |
| Mcf Clo Ix Ltd. | Securitized Asset Fund | $296M | 4 | Mar 30, 2020 |
| Apogem US Direct Lending Limited I | Private Equity Fund | $290M | 2 | Mar 28, 2024 |
| Mcf Clo Viii Ltd. | Securitized Asset Fund | $285M | 9 | Mar 29, 2019 |
| Private Advisors Secondary Fund V, LP | Private Equity Fund | $282M | 165 | Mar 23, 2016 |
| Private Advisors Small Company Private Equity Fund Vi, LP | Private Equity Fund | $266M | 91 | Mar 31, 2014 |
| Apogem Heritage Fund V, LP | Private Equity Fund | $257M | 17 | Mar 28, 2024 |
| Pa Small Company Coinvestment Fund II, LP | Private Equity Fund | $249M | 52 | Jun 19, 2020 |
| Pa Real Assets Fund III, LP | Private Equity Fund | $239M | 167 | Mar 31, 2022 |
| Nylcap Mezzanine Partners III, LPno longer reported | Private Equity Fund | $199M | 32 | Mar 29, 2012 |
| Apogem Srl 2 LLC | Securitized Asset Fund | $195M | 2 | Mar 28, 2024 |
| Ridgelake Partners, LP | Private Equity Fund | $195M | 73 | Jun 19, 2020 |
| Pa Middle Market Fund, LP | Private Equity Fund | $192M | 3 | Mar 29, 2019 |
| Private Advisors Real Assets Fund, LP | Private Equity Fund | $180M | 106 | Mar 23, 2016 |
| Mcf Pd Fund LP | Private Equity Fund | $177M | 1 | Mar 29, 2019 |
| Mcf Sca Fund LP | Private Equity Fund | $174M | 1 | Mar 31, 2023 |
| Pa Secondary Fund Vi Coinvestments, LP | Private Equity Fund | $162M | 5 | Mar 31, 2022 |
| Private Advisors Small Company Buyout Fund V, LP | Private Equity Fund | $154M | 53 | Mar 30, 2012 |
| Mcf Hyundai Fund LLC | Private Equity Fund | $150M | 1 | Mar 30, 2020 |
| Mcf Kb Fund LLC | Private Equity Fund | $137M | 1 | Mar 29, 2019 |
| Apogem Direct Lending Loan Portfolio 2023 LLC | Private Equity Fund | $133M | 1 | Mar 28, 2024 |
| Apogem Private Equity Fund X, LP | Private Equity Fund | $130M | 15 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- (Nmn) Naim Abou-Jaoude · Board Member, Chaircontrolsince 05/2023 · owns less than 5%
- Michael John Grady · Senior Managing Director & Chief Financial Officercontrolsince 05/2022 · owns less than 5%
- Michael Francis Harte · Board Membercontrolsince 05/2020 · owns less than 5%
- Alexander Thomas Hendry · Board Membercontrolsince 05/2020 · owns less than 5%
- Maurice Alain Karaoglan · Board Membercontrolsince 05/2023 · owns less than 5%
- Ramsey Anthony Malloy · Board Membercontrolsince 05/2020 · owns less than 5%
- Morgan Joshua Niedner · Chief Executive Officercontrolsince 01/2024 · owns less than 5%
- John Kevin Power · Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
- Ryan Christopher Stringer · Presidentcontrolsince 01/2024 · owns less than 5%
- Jae Sung Yoon · Board Membercontrolsince 05/2020 · owns less than 5%
Entity owners
- New York Life Investment Management Holdings LLC · Sole Member/Direct & Sole Interest Holderdirect · owns 75% or more
- New York Life Insurance Company · Sole Memberindirect · owns 75% or more of New York Life Investment Management Holdings LLC
Related persons
Schedule D 7.A
- Ahf V Genpar LPpooled vehicle sponsory
- Ahf Vi Genpar LPpooled vehicle sponsory
- Apef X Gp, LLCpooled vehicle sponsory
- Apogem Cardinal Co-Investment Fund Gp LLCpooled vehicle sponsory
- Apogem Coinvestment Vii Genpar, LPpooled vehicle sponsory
- Araf IV Gp, LLCpooled vehicle sponsory
- Asf Vii Gp, LLCpooled vehicle sponsory
- Ausbil Investment Management Limitedinvestment adviserpooled vehicle sponsornRAUM $14B
- Bmg Papm Gp, LLCpooled vehicle sponsory
- Bow River Advisers, LLCinvestment advisernRAUM $1.2B
- Candriam S.C.A.investment adviserbankpooled vehicle sponsornRAUM $155B
- Cuyahoga Capital Emerging Buyout Partners Management Group LLCpooled vehicle sponsory
- Cuyahoga Capital Partners IV Management Group LLCpooled vehicle sponsory
- Eagle Strategies LLCinvestment advisernRAUM $32B
- Flatiron Rr LLC, Manager Seriesinvestment advisernRAUM $1.2B
- Goldpoint Mezzanine Partners IV Genpar, LPpooled vehicle sponsory
- Goldpoint Partners Canada Genpar Inc.pooled vehicle sponsory
- Goldpoint Partners Canada III Genpar Inc.pooled vehicle sponsory
- Goldpoint Partners Canada IV Genpar Gp Inc.pooled vehicle sponsory
- Goldpoint Partners Canada V Genpar Gp Inc.pooled vehicle sponsory
- Goldpoint Partners Co-Investment V Genpar, LPpooled vehicle sponsory
- Goldpoint Partners Co-Investment Vi Genpar, L.P.pooled vehicle sponsory
- Goldpoint Partners Private Debt V Genpar, LPpooled vehicle sponsory
- Goldpoint Partners Select Manager III Genpar Gp, LLCpooled vehicle sponsory
- Goldpoint Partners Select Manager III Genpar, L.P.pooled vehicle sponsory
- Goldpoint Partners Select Manager IV Genpar, L.P.pooled vehicle sponsory
- Goldpoint Partners Select Manager V Genpar Gp, LLCpooled vehicle sponsory
- Goldpoint Partners Select Manager V Genpar, L.P.pooled vehicle sponsory
- Goldpoint Private Credit Genpar Gp, LLCpooled vehicle sponsory
- Indexiq Advisors LLCinvestment adviserbanknRAUM $10B
Advisers that list Apogem Capital LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL89 employees
- Richmond, VA19 employees
- Austin, TX3 employees
- Cleveland, OH3 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJul 31, 2026 to Sep 14, 2026
- Private funds · 114 to unsetJul 31, 2026 to Sep 14, 2026
- Succession · false to unsetJul 31, 2026 to Sep 14, 2026
- Accounts · 133 to 144Feb 25, 2026 to Mar 30, 2026
- Advisory employees · 137 to 127Feb 25, 2026 to Mar 30, 2026
- BD registered reps · 26 to 53Feb 25, 2026 to Mar 30, 2026
- Charity clients · unset to 1.0Feb 25, 2026 to Mar 30, 2026
- Corporate clients · unset to 1.0Feb 25, 2026 to Mar 30, 2026
- HNW clients · unset to 1.0Feb 25, 2026 to Mar 30, 2026
- Pooled vehicle clients · 126 to 137Feb 25, 2026 to Mar 30, 2026
- Assets in custody · $8.3B to $9.1BFeb 25, 2026 to Mar 30, 2026
- Employees · 257 to 259Feb 25, 2026 to Mar 30, 2026
- Private funds · 107 to 114Feb 25, 2026 to Mar 30, 2026
- Discretionary RAUM · $39B to $41BFeb 25, 2026 to Mar 30, 2026
- HNW RAUM · $13.6M to $13.4MFeb 25, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $1.9B to $2.5BFeb 25, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $21B to $23BFeb 25, 2026 to Mar 30, 2026
- RAUM · $41B to $44BFeb 25, 2026 to Mar 30, 2026
- Financial planning clients · unset to Jun 30, 2025 to Jul 31, 2025
- Accounts · 125 to 133Nov 13, 2024 to Mar 30, 2025
- Advisory employees · 116 to 137Nov 13, 2024 to Mar 30, 2025
- BD registered reps · 27 to 26Nov 13, 2024 to Mar 30, 2025
- Pooled vehicle clients · 119 to 126Nov 13, 2024 to Mar 30, 2025
- Assets in custody · $7.6B to $8.3BNov 13, 2024 to Mar 30, 2025
- Employees · 252 to 257Nov 13, 2024 to Mar 30, 2025
- Private funds · 102 to 107Nov 13, 2024 to Mar 30, 2025
- Discretionary RAUM · $39B to $39BNov 13, 2024 to Mar 30, 2025
- HNW RAUM · $14.8M to $13.6MNov 13, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $1.7B to $1.9BNov 13, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · $21B to $21BNov 13, 2024 to Mar 30, 2025
- RAUM · $40B to $41BNov 13, 2024 to Mar 30, 2025
- Accounts · 120 to 125Jun 12, 2024 to Sep 30, 2024
- Pooled vehicle clients · 115 to 119Jun 12, 2024 to Sep 30, 2024
- Private funds · 97 to 102Jun 12, 2024 to Sep 30, 2024
- Discretionary RAUM · $41B to $39BJun 12, 2024 to Sep 30, 2024
- HNW RAUM · $16.6M to $14.8MJun 12, 2024 to Sep 30, 2024
- Non-discretionary RAUM · $1.1B to $1.7BJun 12, 2024 to Sep 30, 2024
- Pooled vehicle RAUM · $21B to $21BJun 12, 2024 to Sep 30, 2024
- RAUM · $42B to $40BJun 12, 2024 to Sep 30, 2024
- Accounts · 113 to 120Jan 30, 2024 to Mar 28, 2024
Signals
26 dated events
- Maurice Alain Karaoglan (Board Member) appeared on Schedule A of Apogem Capital LlcJan 30, 2024 · Control person joined · fact
- Joshua Niedner (Chief Executive Officer) appeared on Schedule A of Apogem Capital LlcJan 30, 2024 · Control person joined · fact
- Michael Kevin Bopp (Chief Compliance Officer) no longer on Schedule A of Apogem Capital Llc (listed 2023-05-10, absent 2023-09-01)Sep 1, 2023 · Control person left · inference
- Kevin Power (Chief Compliance Officer) appeared on Schedule A of Apogem Capital LlcSep 1, 2023 · Control person joined · fact
- (Nmn) Naim Abou-Jaoude (Board Member, Chair) appeared on Schedule A of Apogem Capital LlcMay 10, 2023 · Control person joined · fact
- Maurice Alain Karaoglan (Board Member, Chair) no longer on Schedule A of Apogem Capital Llc (listed 2023-03-31, absent 2023-05-10)May 10, 2023 · Control person left · inference
- Michael Lorne Smith (Vice President & General Counsel) no longer on Schedule A of Apogem Capital Llc (listed 2023-01-20, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Apogem Capital Llc reported RAUM $40.3B, up 41% from $28.7B (2023-01-20 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- (Nmn) Yie-Hsin Hung (Chair, Board Member) no longer on Schedule A of Apogem Capital Llc (listed 2022-09-16, absent 2022-10-14)Oct 14, 2022 · Control person left · inference
- Maurice Alain Karaoglan (Board Member, Chair) appeared on Schedule A of Apogem Capital LlcOct 14, 2022 · Control person joined · fact
- Ching-Ai Melissa Kuan (Managing Director & Chief Operating Officer) no longer on Schedule A of Apogem Capital Llc (listed 2022-06-16, absent 2022-09-16)Sep 16, 2022 · Control person left · inference
- Wells Christopher Taylor (Chief Executive Officer, Board Member) no longer on Schedule A of Apogem Capital Llc (listed 2022-05-16, absent 2022-06-16)Jun 16, 2022 · Control person left · inference
- Ryan Christopher Stringer (Interim Chief Executive Officer) appeared on Schedule A of Apogem Capital LlcJun 16, 2022 · Control person joined · fact
- David Sean Gelb (Managing Director & Chief Financial Officer) no longer on Schedule A of Apogem Capital Llc (listed 2022-03-31, absent 2022-05-16)May 16, 2022 · Control person left · inference
- Michael John Grady (Senior Managing Director & Chief Financial Officer) appeared on Schedule A of Apogem Capital LlcMay 16, 2022 · Control person joined · fact
- William Louis Moelchert (Member Of The Executive Committee) no longer on Schedule A of Apogem Capital Llc (listed 2022-03-04, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Ryan Christopher Stringer (Member Of The Executive Committee) no longer on Schedule A of Apogem Capital Llc (listed 2022-03-04, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Lynn Jennifer Cotton (Member Of The Executive Committee) no longer on Schedule A of Apogem Capital Llc (listed 2022-03-04, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Ching-Ai Melissa Kuan (Managing Director & Chief Operating Officer) appeared on Schedule A of Apogem Capital LlcMar 31, 2022 · Control person joined · fact
- David Sean Gelb (Managing Director & Chief Financial Officer) appeared on Schedule A of Apogem Capital LlcMar 31, 2022 · Control person joined · fact
- Apogem Capital Llc reported 5 offices beyond its principal office, up from 0 (2022-03-04 to 2022-03-31)Mar 31, 2022 · Office count change · derived
- Vijay Anup Palkar (Member Of The Executive Committee) no longer on Schedule A of Apogem Capital Llc (listed 2021-03-31, absent 2021-09-01)Sep 1, 2021 · Control person left · inference
- Mark Thomas Haubenstricker (Member Of The Executive Committee) no longer on Schedule A of Apogem Capital Llc (listed 2021-03-31, absent 2021-09-01)Sep 1, 2021 · Control person left · inference
- Alexander Thomas Hendry (Board Member) appeared on Schedule A of Apogem Capital LlcMar 31, 2021 · Control person joined · fact
- Michael Lorne Smith (Chief Legal Officer) appeared on Schedule A of Apogem Capital LlcJun 19, 2020 · Control person joined · fact
- New York Life Investments Alternatives Llc filed its initial SEC registration (Form ADV)May 4, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Apogem Capital LLC · Independent Sponsorsshared crd · capital_provider
- Apogem Capital LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/apogem-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/ridgelake-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- apogemcapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 601-3600reportedpublic record, Form ADV, Sep 14, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $22Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026