{
  "crd_number": 309234,
  "slug": "apogem-capital-llc-new-york-ny-309234",
  "primary_business_name": "APOGEM CAPITAL LLC",
  "legal_name": "APOGEM CAPITAL LLC",
  "dbas": [
    "RIDGELAKE PARTNERS (NYLI)"
  ],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2020-06-03",
  "years_registered": 6,
  "period": "2026-10-01",
  "filing_date": "2026-09-14",
  "carried_forward": false,
  "raum_total": 43819423421.0,
  "raum_discretionary": 41358826991.0,
  "raum_non_discretionary": 2460596430.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 259,
  "advisory_employees": 127,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 174940337.0,
      "count": 1,
      "fewer_than_5": true
    },
    "insurance_companies": {
      "raum": 8182629118.0,
      "count": 3,
      "fewer_than_5": true
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 1
    },
    "high_net_worth_individuals": {
      "raum": 13427480.0,
      "count": 1,
      "fewer_than_5": true
    },
    "pooled_investment_vehicles": {
      "raum": 23495086815.0,
      "count": 137
    },
    "corporations_other_businesses": {
      "raum": 11953339671.0,
      "count": 1,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "other",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 7,
  "states_registered": [
    "DE",
    "IL",
    "NY",
    "OH",
    "TX",
    "VA"
  ],
  "websites": [
    "https://apogemcapital.com",
    "https://facebook.com/profile.php?id=100077335452804",
    "https://goldpointpartners.com",
    "https://instagram.com/apogemcapital",
    "https://linkedin.com/company/apogem-capital",
    "https://linkedin.com/company/ridgelake-partners",
    "https://mcfllc.com",
    "https://pacapital.com",
    "https://ridgelake.com",
    "https://x.com/ApogemCapital"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/309234",
  "disclosure_items": [
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.H(1)(b)",
      "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/apogem-capital-llc-new-york-ny-309234",
  "display_name": "Apogem Capital LLC",
  "summary": "Apogem Capital LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2020, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 14, 2026.",
  "citation": "AdvisorCensus. Apogem Capital LLC (CRD 309234): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Apogem Capital LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Apogem Capital LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees."
    },
    {
      "q": "Where is Apogem Capital LLC located?",
      "a": "Apogem Capital LLC's principal office is in New York, NY, according to its Form ADV; the October 2026 filing also lists 4 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Apogem Capital LLC registered with the SEC or a state?",
      "a": "Apogem Capital LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 309234."
    },
    {
      "q": "How much does Apogem Capital LLC manage?",
      "a": "Apogem Capital LLC reports $43,819,423,421 in regulatory assets under management in its Form ADV filing dated September 14, 2026 (94% discretionary)."
    },
    {
      "q": "How have Apogem Capital LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Apogem Capital LLC: Regulatory assets under management: $25,015,396,255 in the October 2021 data and $43,819,423,421 in the October 2026 data, up 75%. Total employees: 230 in October 2021 and 259 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Apogem Capital LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (137); insurance companies (3); high net worth individuals (1)."
    },
    {
      "q": "Does Apogem Capital LLC report any disciplinary disclosures?",
      "a": "Reports 7 disclosure items on Form ADV Item 11: yes answers to 6 questions about regulatory matters and 1 question about civil court matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(4), 11.H(1)(b)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/309234"
    },
    {
      "q": "Does Apogem Capital LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 30, 2026 says: \"Our Funds generally require a minimum capital commitment of $1 million or greater in order to invest. Investors should refer to a specific Fund’s private placement memorandum for more information on its minimum capital commitment.\""
    },
    {
      "q": "What changed in Apogem Capital LLC's recent Form ADV filings?",
      "a": "In the October 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 25015396255.0,
      "total_employees": 230,
      "filing_date": "2021-09-01"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 28671215908.0,
      "total_employees": 205,
      "filing_date": "2022-09-16"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 40295545716.0,
      "total_employees": 228,
      "filing_date": "2023-09-06"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 40344808273.0,
      "total_employees": 252,
      "filing_date": "2024-09-30"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 40645545384.0,
      "total_employees": 257,
      "filing_date": "2025-07-31"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 43819423421.0,
      "total_employees": 259,
      "filing_date": "2026-09-14"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 137 to 127.",
        "Changed its office addresses in Cleveland, OH."
      ]
    },
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Item 11 disclosure answers changed: 7 yes answers, previously 3 (now yes: 11.C(1), 11.C(2), 11.C(4), 11.C(5)).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 30, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$1,000,000",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $1,000,000"
        ],
        "quotes": [
          "Our Funds generally require a minimum capital commitment of $1 million or greater in order to invest. Investors should refer to a specific Fund’s private placement memorandum for more information on its minimum capital commitment."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 1000000.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "Our Funds generally require a minimum capital commitment of $1 million or greater in order to invest. Investors should refer to a specific Fund’s private placement memorandum for more information on its minimum capital commitment."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/apogem-capital-llc-new-york-ny-309234.md",
  "clients": [
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 1,
      "fewer_than_5": true,
      "raum": 13427480.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 1,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 137,
      "fewer_than_5": false,
      "raum": 23495086815.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 1,
      "fewer_than_5": true,
      "raum": 174940337.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 3,
      "fewer_than_5": true,
      "raum": 8182629118.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 1,
      "fewer_than_5": true,
      "raum": 11953339671.0
    }
  ],
  "disclosure_line": "Reports 7 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/309234",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}