SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Apogem Capital LLC
New York, NY
CRD 309234
Firm filing updated September 14, 2026 ·
- $43.8BAssets
- 127Advisory staff
- 144Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Performance-based feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- Pooled vehicles137
- Investment companies1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | Fewer than 5 clients | $13.4 million |
| Investment companies | 1 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 137 | $23.5 billion |
| Charitable organizations | Fewer than 5 clients | $174.9 million |
| Insurance companies | Fewer than 5 clients | $8.2 billion |
| Corporations or other businesses not listed above | Fewer than 5 clients | $12.0 billion |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- 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
See all 5 services
- Selection of other advisors (including private fund managers)
- Other: "PROVIDE INVESTMENT SUPERVISORY SERVICES"
- 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 advisors (including private fund managers)
- Other: "PROVIDE INVESTMENT SUPERVISORY SERVICES"
Assets and accounts
- Regulatory assets$43.8 billion
- Accounts144
- Discretionary$41.4 billion · 127 accounts
- Non-discretionary$2.5 billion · 17 accounts
People
- Employees259
- Advisory staff127
- Broker-dealer reps53
- Licensed insurance agents0
Advisors
1 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 309234, SEC file 801-118844.
- Registered with the SEC as an investment advisor (status date on record: June 3, 2020).
Is Apogem Capital LLC a fiduciary?
Short answer: Apogem Capital LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 53 staff are broker-dealer representatives, the firm is itself a registered representative of a broker-dealer and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.