# APOGEM CAPITAL LLC

APOGEM CAPITAL LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 309234
- Type: SEC-registered investment adviser
- SEC file number: 801-118844
- Location: 299 PARK AVENUE, 37TH FLOOR, NEW YORK, NY, 10171
- Phone: (212) 601-3600
- Latest filing: 2026-07-31
- Regulatory AUM: $43.8B
- Discretionary AUM: $41.4B
- Non-discretionary AUM: $2.5B
- Clients: 259
- Accounts: 144

## Business model

- Compensation: % of AUM, Fixed, Performance
- Clients served: High net worth, Pooled vehicles, Charities, Investment cos, Other

## Officers, owners & control persons (38)

_Showing 25 of 38 people._

| Name | Role | Location |
| --- | --- | --- |
| Craig Andrew Sabal | BOARD MEMBER | New York, NY |
| Naim Nmn Abou-Jaoude | BOARD MEMBER, CHAIR | — |
| Alain Maurice Karaoglan | BOARD MEMBER | — |
| Anthony Ramsey Malloy | BOARD MEMBER | — |
| Francis Michael Harte | BOARD MEMBER | — |
| Thomas Alexander Hendry | BOARD MEMBER | — |
| John Michael Grady | SENIOR MANAGING DIRECTOR & CHIEF FINANCIAL OFFICER | — |
| Christopher Ryan Stringer | PRESIDENT | — |
| Kevin John Power | CHIEF COMPLIANCE OFFICER | — |
| Joshua Morgan Niedner | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER; BOARD MEMBER | — |
| Stuart Andr Warner | GENERAL COUNSEL | — |
| Jae Sung Yoon | BOARD MEMBER | — |
| HARTE FRANCIS MICHAEL | BOARD MEMBER; CHIEF FINANCIAL OFFICER, BOARD MEMBER | — |
| SMITH MATTHEW MICHAEL | CHIEF LEGAL OFFICER; VICE PRESIDENT & GENERAL COUNSEL | — |
| MOELCHERT LOUIS WILLIAM | MEMBER OF THE EXECUTIVE COMMITTEE | — |
| MALLOY ANTHONY RAMSEY | BOARD MEMBER | — |
| GRADY WILLIAM MICHAEL | SENIOR MANAGING DIRECTOR & CHIEF FINANCIAL OFFICER | — |
| HAUBENSTRICKER THOMAS MARK | MEMBER OF THE EXECUTIVE COMMITTEE | — |
| YOON JAE SUNG | BOARD MEMBER | — |
| HUNG YIE-HSIN NMN | CHAIR, BOARD MEMBER; CHAIR OF THE BOARD OF MANAGERS | — |
| STRINGER CHRISTOPHER RYAN | INTERIM CHIEF EXECUTIVE OFFICER; MEMBER OF THE EXECUTIVE COMMITTEE; PRESIDENT | — |
| HENDRY THOMAS ALEXANDER | BOARD MEMBER | — |
| PALKAR ANUP VIJAY | MEMBER OF THE EXECUTIVE COMMITTEE | — |
| POWER KEVIN JOHN | CHIEF COMPLIANCE OFFICER | — |
| BOPP KEVIN MICHAEL | CHIEF COMPLIANCE OFFICER | — |


## Disclosures (57)

_Showing 10 of 13 distinct disclosure events._

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2026-02-25 | regulatory | THE SEC FOUND THAT BETWEEN MARCH 2020 AND MAY 2020, WHEN THE CORONAVIRUS PANDEMIC DISRUPTED THE U.S. FINANCIAL MARKETS, MADISON CAPITAL FUNDING LLC ("MADISON CAPITAL"), A PREDECESSOR FIRM TO APOGEM CAPITAL, DID NOT PRICE PRINCIPAL TRADES MADE WITH FUNDS IT ADVISED AT FAIR MARKET VALUE, CONTRARY TO I… | Final | $900K |
| 2025-08-07 | regulatory | NEW YORK LIFE INSURANCE COMPANY ("NYLIC") PAID A $2,000 FINE FOR FAILING TO PAY CLAIMS AND INTEREST ON CLAIMS IN A TIMELY MANNER, IN VIOLATION OF CONNECTICUT STATUTORY REQUIREMENTS. NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION ("NYLIAC") PAID A $12,000 FINE FOR PERMITTING EIGHT (8) PRODUCERS TO A… | Final | $14K |
| 2023-12-16 | regulatory | NYLIC COMPANY FAILED TO USE POLICY FORMS THAT WERE REVIEWED AND APPROVED BY THE STATE. IN ADDITION, CERTAIN FORMS DID NOT COMPLY WITH STATE REGULATIONS. | Final | $100K |
| 2023-12-16 | regulatory | NYLIC FAILED TO USE POLICY FORMS THAT WERE REVIEWED AND APPROVED BY THE STATE. IN ADDITION, CERTAIN FORMS DID NOT COMPLY WITH STATE REGULATIONS. | Final | $100K |
| 2021-10-04 | regulatory | ON OCTOBER 4, 2021 NEW YORK LIFE INSURANCE COMPANY ("NYLIC") RECEIVED AN ORDER OF CIVIL PENALTY AND ADOPTION OF A CORRECTIVE ACTION PLAN FROM THE KENTUCKY DEPARTMENT OF INSURANCE ALLEGING THAT NYLIC INCORRECTLY IMPLEMENTED PREMIUM RATE INCREASES ON 112 INDIVIDUAL LONG TERM CARE CONTRACTS IN VIOLATIO… | Final | $112K |
| 2021-03-23 | regulatory | THE OFFICE OF THE MONTANA STATE AUDITOR, COMMISSION OF SECURITIES AND INSURANCE ("CSI") FOUND THAT SINCE 2015 NEW YORK LIFE INSURANCE COMPANY AND NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION (COLLECTIVELY, "NYL") USED GROUP LIFE INSURANCE AND GROUP ANNUITY FORMS THAT HAD NOT BEEN APPROVED BY THE… | Final | $10K |
| 2018-01-24 | regulatory | DURING THE COURSE OF A ROUTINE MARKET CONDUCT EXAM, THE STATE OF CONNECTICUT INSURANCE DEPARTMENT (THE STATE) FOUND NEW YORK LIFE INSURANCE COMPANY DID NOT TIMELY PAY LONG TERM CARE CLAIMS IN FOUR INSTANCES. | Final | $1K |
| 2016-10-31 | regulatory | AS THE RESULT OF A ROUTINE MARKET CONDUCT EXAMINATION OF THE AFFAIRS OF NEW YORK LIFE INSURANCE COMPANY FOR THE PERIOD FROM JANUARY 1, 2005 THROUGH DECEMBER 3, 2009, THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES FOUND THAT NYLIC VIOLATED SECTIONS 53-3.5(A), 53- 3.2(A)2 AND 53-3.6(B) OF THE DEP… | Final | $732K |
| 2015-12-07 | regulatory | THE ILLINOIS DEPARTMENT OF INSURANCE CONDUCTED A MARKET EXAM, THE REPORT OF WHICH IDENTIFIED CERTAIN AREAS WHERE NYLIC WAS NOT IN COMPLIANCE WITH ILLINOIS INSURANCE REGULATIONS. NYLIC AND THE IL DEPT OF INSURANCE ENTERED INTO A STIPULATION AND CONSENT ORDER UNDER WHICH NYLIC WILL PAY A CIVIL PENALTY… | Final | $26K |
| 2014-10-24 | regulatory | A CIVIL PENALTY TO NYLIC BECAUSE A THIRD PARTY ADMINISTRATOR WORKING ON ITS BEHALF FAILED TO COMPLY WITH THE HEALTH INSURANCE CLAIM PAYMENT STANDARDS UNDER THE KENTUCKY PROMPT PAY ACT. | Final | $6K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/309234/brochure
- Similar advisers: https://search.stillhousedata.com/firm/309234/similar
- Related entities: https://search.stillhousedata.com/firm/309234/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/309234

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