APOGEM CAPITAL LLC
Adviser information for APOGEM CAPITAL LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 252 |
|---|---|
| Investment Advisory/Research | 116 |
| Registered Broker-Dealer Representatives | 27 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 4 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 107 | $40.7B |
| Non-Discretionary | 13 | $1.1B |
| Total | 120 | $41.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $16.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 115 | $20.6B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $154.4M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $11.2B |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $9.9B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 24 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)PROVIDE INVESTMENT SUPERVISORY SERVICES |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
| Other Business Activities | Registered representative of a broker-dealer |
Principal Office
299 PARK AVENUE37TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:30AM TO 5:00PM
Tel: (212) 601-3600, Fax: None
Chief Compliance Officer
KEVIN POWER
299 PARK AVENUE
37TH FLOOR
NEW YORK
NY
United States
Tel:
(212) 601-3645
K**********@****************M
(Full email address available in API data)
Regulatory Contact
KATHERINE J. DUFFY
COMPLIANCE OFFICER
299 PARK AVENUE
37TH FLOOR
NEW YORK
NY
United States
Tel:
(312) 980-5952
A****************@****************M
(Full email address available in API data)
Industry Affiliates
| AHF V GENPAR LP | Sponsor, GP, manager of pooled investment vehicles |
| AHF VI GENPAR LP | Sponsor, GP, manager of pooled investment vehicles |
| APEF X GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| APOGEM COINVESTMENT VII GENPAR, LP | Sponsor, GP, manager of pooled investment vehicles |
| ASF VII GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| AUSBIL INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BMG PAPM GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BOW RIVER ADVISERS, LLC | Other investment adviser, including financial planners |
| CANDRIAM S.C.A. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| CUYAHOGA CAPITAL EMERGING PARTNERS MANAGEMENT GROUP LLC | Sponsor, GP, manager of pooled investment vehicles |
| CUYAHOGA CAPITAL PARTNERS IV MANAGEMENT GROUP LLC | Sponsor, GP, manager of pooled investment vehicles |
| EAGLE STRATEGIES LLC | Other investment adviser, including financial planners |
| FLATIRON RR LLC, MANAGER SERIES | Other investment adviser, including financial planners |
| GOLDPOINT MEZZANINE PARTNERS IV GENPAR, LP | Sponsor, GP, manager of pooled investment vehicles |
| GOLDPOINT PARTNERS CANADA GENPAR INC. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDPOINT PARTNERS CANADA III GENPAR INC. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDPOINT PARTNERS CANADA IV GENPAR GP INC. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDPOINT PARTNERS CANADA V GENPAR GP INC. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDPOINT PARTNERS CO-INVESTMENT V GENPAR, LP | Sponsor, GP, manager of pooled investment vehicles |
| GOLDPOINT PARTNERS CO-INVESTMENT VI GENPAR, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDPOINT PARTNERS PRIVATE DEBT V GENPAR, LP | Sponsor, GP, manager of pooled investment vehicles |
| GOLDPOINT PARTNERS SELECT MANAGER III GENPAR GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| GOLDPOINT PARTNERS SELECT MANAGER III GENPAR, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDPOINT PARTNERS SELECT MANAGER IV GENPAR, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDPOINT PARTNERS SELECT MANAGER V GENPAR GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| GOLDPOINT PARTNERS SELECT MANAGER V GENPAR, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDPOINT PRIVATE CREDIT GENPAR GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| INDEXIQ ADVISORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| KARTESIA MANAGEMENT S.A. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| LIFE INSURANCE COMPANY OF NORTH AMERICA | Insurance company or agency |
| MACKAY SHIELDS EUROPE INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| MACKAY SHIELDS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| MACKAY SHIELDS UK LLP | Other investment adviser, including financial planners |
| MADISON AVENUE LOAN FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MADISON CAPITAL FUNDING LLC | Sponsor, GP, manager of pooled investment vehicles |
| MCF CO-INVESTMENT GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| MCF CO-INVESTMENT GP LP | Sponsor, GP, manager of pooled investment vehicles |
| NEW YORK LIFE CAPITAL PARTNERS IV GENPAR, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| NEW YORK LIFE ENTERPRISES LLC | Insurance company or agency |
| NEW YORK LIFE GROUP INSURANCE COMPANY OF NY | Insurance company or agency |
| NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION | Commodity pool operator or commodity trading advisorInsurance company or agency |
| NEW YORK LIFE INSURANCE COMPANY | Commodity pool operator or commodity trading advisorInsurance company or agency |
| NEW YORK LIFE INVESTMENT MANAGEMENT ASIA LIMITED | Other investment adviser, including financial planners |
| NEW YORK LIFE INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial planners |
| NEW YORK LIFE TRUST COMPANY | Commodity pool operator or commodity trading advisorTrust companySponsor, GP, manager of pooled investment vehicles |
| NYL INVESTORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| NYLCAP CANADA II GENPAR INC. | Sponsor, GP, manager of pooled investment vehicles |
| NYLCAP MEZZANINE PARTNERS III GENPAR, LP | Sponsor, GP, manager of pooled investment vehicles |
| NYLCAP SELECT MANAGER II GENPAR, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| NYLIFE DISTRIBUTORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NYLIFE INSURANCE COMPANY OF ARIZONA | Insurance company or agency |
| NYLIFE SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| NYLINK INSURANCE AGENCY INC. | Insurance company or agency |
| PA EMERGING MANAGER CARRY II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PA EMERGING MANAGER CARRY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PA REAL ASSETS CARRY II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PA REAL ASSETS CARRY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PACD MM, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PACIF II CARRY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PACIF II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PACIF III CARRY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PACIF III GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PACIF IV CARRY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PACIF IV GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PAMMF GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PARAF CARRY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PARAF GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PARAF II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PARAF III GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASCBF IV CARRY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASCBF IV GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASCBF V CARRY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASCBF V GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASCCIF CARRY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASCCIF GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASCCIF II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASCPEF IX GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASCPEF VI CARRY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASCPEF VI GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASCPEF VII CARRY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASCPEF VII GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASCPEF VIII GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASF V CARRY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASF V GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PASF VI GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RIC I CARRY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RIC I GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RIDGELAKE PARTNERS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SAF GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SEGUROS MONTERREY NEW YORK LIFE, S.A. DE C.V. | Insurance company or agency |
| TRISTAN CAPITAL PARTNERS | Other investment adviser, including financial planners |
| WASHINGTON PIKE GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| WASHINGTON PIKE GP, LLC - SERIES B | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| APCAP STRATEGIC PARTNERSHIP I LLC | Private Equity Fund | $25.5M | $1.0M | 1 |
| APOGEM COINVESTMENT VII, LP | Private Equity Fund | $77.3M | $1.0M | 13 |
| APOGEM DIRECT LENDING HYUNDAI FUND 2 LLC | Private Equity Fund | $47.6M | $0.0M | 1 |
| APOGEM DIRECT LENDING LEVERED FUND 2023-1 LLC | Private Equity Fund | $62.8M | $0.0M | 1 |
| APOGEM DIRECT LENDING LOAN PORTFOLIO 2023 LLC | Private Equity Fund | $133.5M | $0.0M | 1 |
| APOGEM HERITAGE FUND V, LP | Private Equity Fund | $256.5M | $0.0M | 17 |
| APOGEM HERITAGE FUND VI, LP | Private Equity Fund | $1,048.7M | $0.0M | 48 |
| APOGEM PRIVATE EQUITY FUND X, LP | Private Equity Fund | $129.8M | $1.0M | 15 |
| APOGEM SECONDARY FUND VII, LP | Private Equity Fund | $0.0M | $1.0M | 19 |
| APOGEM SRL 2 LLC | RATED LOAN FACILITY | $195.1M | $0.0M | 2 |
| APOGEM US DIRECT LENDING LIMITED I | Private Equity Fund | $290.0M | $0.0M | 2 |
| BMG PA PRIVATE MARKETS (DELAWARE), LP | Private Equity Fund | $45.8M | $1.0M | 4 |
| CUYAHOGA CAPITAL EMERGING BUYOUT PARTNERS LP | Private Equity Fund | $20.3M | $0.0M | 3 |
| CUYAHOGA CAPITAL PARTNERS IV LP | Private Equity Fund | $26.3M | $0.3M | 55 |
| GOLDPOINT CORE OPPORTUNITIES FUND II, L.P. SERIES INTERESTS OF THE SALI MULTI-SERIES FUND, L.P. | Private Equity Fund | $106.0M | $5.0M | 1 |
| GOLDPOINT CORE OPPORTUNITIES FUND, L.P. SERIES INTERESTS OF THE SALI MULTI-SERIES FUND, L.P. | Private Equity Fund | $82.7M | $5.0M | 2 |
| GOLDPOINT MEZZANINE PARTNERS CO-INVESTMENT FUND A, LP | Private Equity Fund | $22.7M | $1.0M | 5 |
| GOLDPOINT MEZZANINE PARTNERS IV, LP | Private Equity Fund | $1,170.5M | $0.1M | 50 |
| GOLDPOINT PARTNERS CO-INVESTMENT FUND-A, LP | Private Equity Fund | $9.7M | $0.0M | 12 |
| GOLDPOINT PARTNERS CO-INVESTMENT V, LP | Private Equity Fund | $0.7M | $0.0M | 31 |
| GOLDPOINT PARTNERS CO-INVESTMENT VI, LP | Private Equity Fund | $0.1M | $0.0M | 64 |
| GOLDPOINT PARTNERS PRIVATE DEBT V, LP | Private Equity Fund | $509.6M | $10.0M | 25 |
| GOLDPOINT PARTNERS SELECT MANAGER FUND III AIV, LP | Private Equity Fund | $7.8M | $5.0M | 10 |
| GOLDPOINT PARTNERS SELECT MANAGER FUND III, LP | Private Equity Fund | $302.1M | $5.0M | 13 |
| GOLDPOINT PARTNERS SELECT MANAGER FUND IV, LP | Private Equity Fund | $967.4M | $5.0M | 27 |
| GOLDPOINT PARTNERS SELECT MANAGER FUND V, LP | Private Equity Fund | $369.6M | $5.0M | 20 |
| GOLDPOINT PRIVATE CREDIT FUND, LP | Private Equity Fund | $96.4M | $0.0M | 2 |
| IRONSHORE INVESTMENTS BL I LTD. | Private Equity Fund | $12.0M | $0.0M | 1 |
| MADISON AVENUE LOAN FUND LP | Private Equity Fund | $8.4M | $0.0M | 2 |
| MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2008 | Private Equity Fund | $0.1M | $0.0M | 29 |
| MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2010 | Private Equity Fund | $0.5M | $0.0M | 28 |
| MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2011 | Private Equity Fund | $0.0M | $0.0M | 28 |
| MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2012 | Private Equity Fund | $0.5M | $0.0M | 26 |
| MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2013 | Private Equity Fund | $4.5M | $0.0M | 28 |
| MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2014 | Private Equity Fund | $0.3M | $0.0M | 29 |
| MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2015 | Private Equity Fund | $6.6M | $0.0M | 26 |
| MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2016 | Private Equity Fund | $5.7M | $0.0M | 34 |
| MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2017 | Private Equity Fund | $14.9M | $0.0M | 46 |
| MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2018 | Private Equity Fund | $13.1M | $0.0M | 56 |
| MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2019 | Private Equity Fund | $31.2M | $0.0M | 49 |
| MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2020 | Private Equity Fund | $42.7M | $0.0M | 64 |
| MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2021 | Private Equity Fund | $41.8M | $0.0M | 58 |
| MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2022 | Private Equity Fund | $44.0M | $0.0M | 63 |
| MADISON CAPITAL FUNDING CO-INVESTMENT FUND LP - SERIES 2023 | Private Equity Fund | $45.0M | $0.0M | 71 |
| MCF CLO 10 LTD. | CLO WAREHOUSE VEHICLE | $426.7M | $0.0M | 2 |
| MCF CLO IV LLC | Securitized Asset Fund | $453.8M | $0.0M | 2 |
| MCF CLO IX LTD. | Securitized Asset Fund | $295.6M | $0.0M | 4 |
| MCF CLO V LLC | Securitized Asset Fund | $309.4M | $0.0M | 2 |
| MCF CLO VI LLC | Securitized Asset Fund | $401.4M | $0.0M | 6 |
| MCF CLO VII LLC | Securitized Asset Fund | $306.8M | $0.0M | 3 |
| MCF CLO VIII LTD. | Securitized Asset Fund | $285.3M | $0.0M | 9 |
| MCF DIRECT LENDING LLC | RATED LOAN FACILITY | $313.7M | $0.0M | 3 |
| MCF HANWHA FUND LLC | Private Equity Fund | $97.9M | $0.0M | 1 |
| MCF HYUNDAI FUND LLC | Private Equity Fund | $149.7M | $0.0M | 1 |
| MCF KB FUND II LLC | Private Equity Fund | $63.4M | $0.0M | 1 |
| MCF KB FUND III LLC | Private Equity Fund | $468.3M | $0.0M | 1 |
| MCF KB FUND LLC | Private Equity Fund | $137.0M | $0.0M | 1 |
| MCF MEZZANINE FUND I LLC | Private Equity Fund | $0.4M | $0.0M | 2 |
| MCF PD FUND LP | Private Equity Fund | $177.2M | $0.0M | 1 |
| MCF SCA FUND LP | Private Equity Fund | $173.8M | $0.0M | 1 |
| MCF SENIOR DEBT FUND - 2020 LP | Private Equity Fund | $308.5M | $0.0M | 1 |
| MCF SENIOR DEBT FUND 2019-I LP | Private Equity Fund | $100.7M | $20.0M | 3 |
| NEW YORK LIFE CAPITAL PARTNERS IV, L.P. | Private Equity Fund | $21.1M | $0.0M | 6 |
| NYLCAP MEZZANINE PARTNERS III, LP | Private Equity Fund | $52.7M | $10.0M | 35 |
| NYLCAP SELECT MANAGER FUND II, L.P. | Private Equity Fund | $56.6M | $5.0M | 9 |
| PA CAPITAL DIRECT, LLC | Private Equity Fund | $75.2M | $1.0M | 4 |
| PA CAPITAL DIRECT, LLC- SERIES III | Private Equity Fund | $2.9M | $1.0M | 3 |
| PA CAPITAL DIRECT, LLC-SERIES II | Private Equity Fund | $5.2M | $1.0M | 17 |
| PA MIDDLE MARKET FUND, LP | Private Equity Fund | $191.7M | $1.0M | 3 |
| PA REAL ASSETS FUND III, LP | Private Equity Fund | $239.0M | $1.0M | 167 |
| PA SECONDARY FUND VI COINVESTMENTS, LP | Private Equity Fund | $161.8M | $1.0M | 5 |
| PA SECONDARY FUND VI, LP | Private Equity Fund | $475.4M | $1.0M | 109 |
| PA SMALL CO PRIVATE EQUITY FUND IX, LP | Private Equity Fund | $485.5M | $1.0M | 68 |
| PA SMALL COMPANY COINVESTMENT FUND II, LP | Private Equity Fund | $249.4M | $1.0M | 52 |
| PRIVATE ADVISORS COINVESTMENT FUND II, LP | Private Equity Fund | $12.2M | $0.5M | 44 |
| PRIVATE ADVISORS COINVESTMENT FUND III, L.P. | Private Equity Fund | $20.8M | $0.5M | 83 |
| PRIVATE ADVISORS COINVESTMENT FUND IV, L.P. | Private Equity Fund | $91.5M | $0.5M | 28 |
| PRIVATE ADVISORS REAL ASSETS FUND II, LP | Private Equity Fund | $337.7M | $1.0M | 86 |
| PRIVATE ADVISORS REAL ASSETS FUND, LP | Private Equity Fund | $179.6M | $1.0M | 106 |
| PRIVATE ADVISORS SECONDARY FUND V, LP | Private Equity Fund | $281.9M | $1.0M | 165 |
| PRIVATE ADVISORS SMALL CO COINVESTMENT FUND - ERISA LP | Private Equity Fund | $44.0M | $0.5M | 4 |
| PRIVATE ADVISORS SMALL CO COINVESTMENT FUND LP | Private Equity Fund | $96.9M | $0.5M | 14 |
| PRIVATE ADVISORS SMALL CO PRIVATE EQUITY FUND VII, LP | Private Equity Fund | $334.9M | $1.0M | 52 |
| PRIVATE ADVISORS SMALL CO PRIVATE EQUITY FUND VIII, LP | Private Equity Fund | $565.3M | $1.0M | 52 |
| PRIVATE ADVISORS SMALL COMPANY BUYOUT FUND IV, LP | Private Equity Fund | $63.8M | $1.0M | 40 |
| PRIVATE ADVISORS SMALL COMPANY BUYOUT FUND V, LP | Private Equity Fund | $154.2M | $1.0M | 53 |
| PRIVATE ADVISORS SMALL COMPANY BUYOUT V- ERISA FUND, LP | Private Equity Fund | $33.7M | $1.0M | 13 |
| PRIVATE ADVISORS SMALL COMPANY PRIVATE EQUITY FUND VI, LP | Private Equity Fund | $266.1M | $1.0M | 91 |
| RICHMOND COINVESTMENT PARTNERS I, LP | Private Equity Fund | $39.1M | $0.5M | 9 |
| RICHMOND COINVESTMENT PARTNERS I, LP- SERIES III | Private Equity Fund | $31.3M | $0.5M | 1 |
| RICHMOND COINVESTMENT PARTNERS I, LP-SERIES II | Private Equity Fund | $32.7M | $0.5M | 9 |
| RIDGELAKE CO-INVESTMENT PARTNERS, LP | Private Equity Fund | $24.5M | $5.0M | 42 |
| RIDGELAKE PARTNERS, LP | Private Equity Fund | $195.0M | $10.0M | 73 |
| SOCIAL ADVANCEMENT FUND, LP | Private Equity Fund | $68.5M | $1.0M | 4 |
| TETRA OPPORTUNITIES PARTNERS SERIES INTERESTS OF THE SALI SVW MULTI-SERIES FUND, L.P. | BANK ELIGIBLE | $70.9M | $10.0M | 1 |
| WASHINGTON PIKE | Private Equity Fund | $62.6M | $1.0M | 4 |
| WASHINGTON PIKE, LP-SERIES B | Private Equity Fund | $11.8M | $1.0M | 8 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | Domestic Entity | – | SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER | 05/2020 | > 75% |
| HARTE, FRANCIS, MICHAEL | Individual | – | BOARD MEMBER | 05/2020 | < 5% |
| HENDRY, THOMAS, ALEXANDER | Individual | – | BOARD MEMBER | 05/2020 | < 5% |
| YOON, JAE SUNG | Individual | – | BOARD MEMBER | 05/2020 | < 5% |
| MALLOY, ANTHONY, RAMSEY | Individual | – | BOARD MEMBER | 05/2020 | < 5% |
| NEW YORK LIFE INSURANCE COMPANY | Domestic Entity | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | SOLE MEMBER | 12/1999 | > 75% |
| GRADY, JOHN, MICHAEL | Individual | – | SENIOR MANAGING DIRECTOR & CHIEF FINANCIAL OFFICER | 05/2022 | < 5% |
| STRINGER, CHRISTOPHER, RYAN | Individual | – | PRESIDENT | 01/2024 | < 5% |
| ABOU-JAOUDE, NAIM, (NMN) | Individual | – | BOARD MEMBER, CHAIR | 05/2023 | < 5% |
| POWER, KEVIN, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2023 | < 5% |
| KARAOGLAN, ALAIN, MAURICE | Individual | – | BOARD MEMBER | 05/2023 | < 5% |
| NIEDNER, JOSHUA, MORGAN | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2024 | < 5% |
| WARNER, STUART, ANDR� | Individual | – | GENERAL COUNSEL | 05/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed February 13th, 2023 for period ending December 31st, 2022
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ACCOLADE INC | COM | 303K | 39K | PA Capital LLC |