{"url":"https://nivawealth.com/firms/apogem-capital-309234","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/309234","regulatoryAum":43819423421,"crd":"309234","secFileNumber":"801-118844","legalName":"Apogem Capital LLC","displayName":"Apogem Capital","website":"https://www.apogemcapital.com","linkedinUrl":"https://www.linkedin.com/company/apogem-capital","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"299 Park Avenue, 37th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10171"},"tradeNames":["Ridgelake Partners (nyli)"],"registration":{"secApproved":"3 June 2020","noticeFilings":6,"latestNoticeFiling":"5 June 2020","inventory":{"sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_SEC_Feed_10_15_2026.xml.gz","sourceAsOf":"2026-10-15","retrievedAt":"2026-10-16T03:16:53.781384+00:00","noticeFilings":[{"status":"Notice Filed","jurisdiction":"Delaware","effectiveDate":"2020-06-03"},{"status":"Notice Filed","jurisdiction":"Illinois","effectiveDate":"2020-06-05"},{"status":"Notice Filed","jurisdiction":"New York","effectiveDate":"2020-06-03"},{"status":"Notice Filed","jurisdiction":"Ohio","effectiveDate":"2020-06-03"},{"status":"Notice Filed","jurisdiction":"Texas","effectiveDate":"2020-06-03"},{"status":"Notice Filed","jurisdiction":"Virginia","effectiveDate":"2020-06-03"}],"registrationStatus":[{"status":"Approved","jurisdiction":"SEC","effectiveDate":"2020-06-03"}]}},"staff":{"employees":259,"advisory":127,"brokerDealerReps":53,"insuranceAgents":0,"promoters":6},"aum":{"discretionary":41358826991,"discretionaryAccounts":127,"nonDiscretionary":2460596430,"nonDiscretionaryAccounts":17,"wrapProgram":null,"nonUsClientsPct":23,"nonAumClients":3},"clientTypes":[{"label":"High-net-worth individuals","clients":1,"fewerThan5":true,"regulatoryAum":13427480},{"label":"Investment companies","clients":1,"regulatoryAum":0},{"label":"Pooled investment vehicles","clients":137,"regulatoryAum":23495086815},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":174940337},{"label":"Insurance companies","clients":3,"fewerThan5":true,"regulatoryAum":8182629118},{"label":"Corporations and other businesses","clients":1,"fewerThan5":true,"regulatoryAum":11953339671}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Apogem Capital has custody of $9.10B for 4 clients.","otherCustodians":[],"leadership":[{"name":"Joshua Niedner","title":"Chief Executive Officer; Board Member","crd":"4367654"},{"name":"John Grady","title":"Senior Managing Director & Chief Financial Officer","crd":"4380203"},{"name":"Kevin Power","title":"Chief Compliance Officer","crd":"4949359"},{"name":"Naim Abou-Jaoude","title":"Board Member, Chair","crd":"6408927"},{"name":"Francis Harte","title":"Board Member","crd":"1976402"},{"name":"Thomas Hendry","title":"Board Member","crd":"1605292"},{"name":"Alain Karaoglan","title":"Board Member","crd":"1593876"},{"name":"Craig Sabal","title":"Board Member","crd":"4591702"},{"name":"Stuart Warner","title":"General Counsel","crd":"7863716"}],"ownership":[{"label":"New York Life Investment Management Holdings LLC","detail":"Sole member/direct & sole interest holder in the 75% or more ownership band and a control person, since May 2020."},{"label":"New York Life Insurance Company","detail":"Indirect owner: a sole member of New York Life Investment Management Holdings LLC in the 75% or more band and a control person, since December 1999.","parent":"New York Life Investment Management Holdings LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":0},"listedOfficeAddresses":5,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"227 West Monroe Street","city":"Chicago"}]},{"state":"New York","offices":1,"addresses":[{"street":"299 Park Avenue, 37th Floor","city":"New York","headquarters":true}]},{"state":"Ohio","offices":1,"addresses":[{"street":"600 Superior East","city":"Cleveland"}]},{"state":"Texas","offices":1,"addresses":[{"street":"500 West 2nd Street","city":"Austin"}]},{"state":"Virginia","offices":1,"addresses":[{"street":"1408-A Roseneath Road","city":"Richmond"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-601-3600","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["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"],"financialPlanningClients":null,"assetMix":[{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":100}],"privateFunds":114},"sources":{"adv1FilingDate":"14 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/309234/PDF/309234.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Apogem Capital have?","answer":"Apogem Capital has at least 144 clients and manages $43.8 billion for them, as of September 2026. They include 137 pooled investment vehicles, 3 insurance companies and 1 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 14 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Apogem Capital offer?","answer":"Apogem Capital provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Apogem Capital have?","answer":"Apogem Capital has 2 investment adviser representatives registered with state securities authorities, out of 259 employees, and 127 perform investment advisory functions. 53 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Apogem Capital invest in?","answer":"At the end of its last fiscal year, Apogem Capital’s separately managed accounts held 100% pooled vehicles (private funds and similar). It advises 114 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Apogem Capital?","answer":"Apogem Capital is owned through a holding company by New York Life Insurance Company. Its direct owner is New York Life Investment Management Holdings LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 14 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Apogem Capital get paid?","answer":"Apogem Capital is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}