Private fund adviser · New York, NY
Apogem Capital LLC
SEC-registered investment adviser · CRD 309234 · SEC 801-118844
At a glance
Apogem Capital LLC is an SEC-registered investment adviser based in New York, New York, with $43.8 billion in regulatory assets under management as of its Form ADV filed September 14, 2026. Its largest client group by assets is pooled investment vehicles, and it reports 1 individual clients. By Form ADV it is a private fund adviser, ranked 179th of 4,686 private fund advisers and 479th of 17,210 SEC-registered advisers by assets.
Main office 212-601-3600apogemcapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $44B
- Rank among private fund advisers
- #179 of 4,686
- Rank among all SEC RIAs
- #479 of 17,210
- Rank in New York
- #125 of 2,591
- Individual clients
- 1
- High-net-worth clients
- 1
- Accounts
- 144
- Discretionary
- 94% of AUM
- Employees
- 259
- Advisory staff
- 127
- Offices
- 5
Owners and executives on its Form ADV
- Francis M. HarteBoard Member
- Thomas A. HendryBoard Member
- John M. GradySenior Managing Director & Chief Financial Officer
- Naim (. Abou-JaoudeBoard Member, Chair
- Kevin J. PowerChief Compliance Officer
- Alain M. KaraoglanBoard Member
- Joshua M. NiednerChief Executive Officer; Board Member
- Stuart A. WarnerGeneral Counsel
- Craig A. SabalBoard Member
Custody and brokerage
Custodian
Apogem Capital LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Apogem Capital LLC is a hybrid RIA: 53 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Nylife Distributors LLC and Nylife Securities LLC.
- Nylife Distributors LLC ↗CRD 35350
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
- Nylife Securities LLC ↗CRD 5167
An introducing broker-dealer: its trades clear through National Financial Services (Fidelity), which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
Its Form ADV brochure (filed March 2026) names Nylife Distributors as the broker-dealer its advisers are registered with.
nvestors of our Funds, and our employees who are registered representatives of NYLIFE Distributors receive training regarding sales practices and are only permitted to recommend investments in investment funds if they believe they are suit
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 137 | $23B | 54% |
| Corporations or other businesses | 1 | $12B | 27% |
| Insurance companies | 3 | $8.2B | 19% |
| Charitable organizations | 1 | $175M | <1% |
| High-net-worth individuals | 1 | $13M | <1% |
| Investment companies | 1 | $0M | 0% |
Private funds
Apogem Capital LLC reports 114 private funds with $18B in gross assets: hedge funds, private equity funds, securitized asset funds, other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Apogem Capital LLC answers yes to 17 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗apogemcapital.com ↗
AtlasMembers
The full record on Apogem Capital LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 5 years of filings
- Locked
- Growth over one, three and five years
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- Rank against 398 peers of its type and size
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- Owners and executives, with titles and stakes
- 9 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 3Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Apogem Capital LLC manage?
Apogem Capital LLC reports $43.8 billion in regulatory assets under management across 144 accounts, 94% of it on a discretionary basis, on its Form ADV filed September 14, 2026.
What kind of firm is Apogem Capital LLC?
Apogem Capital LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Apogem Capital LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($23.5 billion, 137 clients); corporations or other businesses ($12.0 billion, 1 clients); insurance companies ($8.2 billion, 3 clients).
Does Apogem Capital LLC manage private funds?
Yes. It reports 114 private funds with $18.1 billion in gross assets, including hedge funds, private equity funds, securitized asset funds, other private funds.
Does Apogem Capital LLC have any disciplinary history?
Apogem Capital LLC answers yes to 17 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Apogem Capital LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-14), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →