Asset manager · New York, NY
Apollo S3 RIC Management, L.P.
SEC-registered investment adviser · CRD 330339 · SEC 801-129730
At a glance
Apollo S3 RIC Management, L.P. is an SEC-registered investment adviser based in New York, New York, with $424 million in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is investment companies. By Form ADV it is a asset manager, ranked 1,766th of 3,218 asset managers and 8,535th of 17,210 SEC-registered advisers by assets.
Main office 212-515-3200apollo.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $424M
- Rank among asset managers
- #1,766 of 3,218
- Rank among all SEC RIAs
- #8,535 of 17,210
- Rank in New York
- #1,577 of 2,591
- Clients
- 1
- Accounts
- 1
- Discretionary
- 100% of AUM
- Employees
- 3,564
- Advisory staff
- 912
- Offices
- 29
Owners and executives on its Form ADV
- Martin B. KellyVice President
- Scott M. KleinmanCo-President
- Yael K. LevyChief Compliance Officer
- Whitney A ChatterjeeVice President
- John P. ZitoCo-President
Custody and brokerage
Custodian
Apollo S3 RIC Management, L.P.’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
Apollo S3 RIC Management, L.P. is a hybrid RIA: 571 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Apollo Global Securities, LLC, Athene Securities, LLC and Griffin Capital Securities, LLC.
- Apollo Global Securities, LLC ↗CRD 153502
An introducing broker-dealer: its trades clear through Pershing, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
- Athene Securities, LLC ↗CRD 36867
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, February 2026
- Griffin Capital Securities, LLC ↗CRD 37739
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 1 | $424M | 100% |
Disciplinary disclosures
Apollo S3 RIC Management, L.P. answers yes to 5 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 investment companies
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗apollo.com ↗
AtlasMembers
The full record on Apollo S3 RIC Management, L.P.
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, 2 years of filings
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- Growth over one, three and five years
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- Rank against 982 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Apollo S3 RIC Management, L.P. manage?
Apollo S3 RIC Management, L.P. reports $424 million in regulatory assets under management across 1 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Apollo S3 RIC Management, L.P.?
Apollo S3 RIC Management, L.P. is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. A public reporting company controls it.
Who are Apollo S3 RIC Management, L.P.’s clients?
By assets, its largest client types are investment companies ($424 million, 1 clients).
Does Apollo S3 RIC Management, L.P. have any disciplinary history?
Apollo S3 RIC Management, L.P. answers yes to 5 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 Apollo S3 RIC Management, L.P.’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 (2026-03-31), 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 →