Investment adviser · CRD 167354
MEDLEY CAPITAL LLC
NEW YORK, NY, United States · Form ADV filed Jan 4, 2022
- Regulatory AUM
- $1.83B Form ADV · Item 5.F
- Client accounts
- 23 Accounts, not individual clients
- Employees
- 42 Reported in this filing
- Advisory professionals
- 19 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Insurance companies | 14 | $1,468,562,232 | 80.2% |
| Pooled investment vehicles | 8 | $362,597,278 | 19.8% |
| Corporations & businesses | 1 | $189,099 | 0.0% |
Filing source
Form ADV 1579791 · Jan 4, 2022 · Item 5.D
Reported by MEDLEY CAPITAL LLC (CRD 167354).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
NH INVESTMENTS & SECURITIES CO., LTD.
Marketer · funds reporting this exact name in the selected filing
These are reported-name connections within this adviser's filing, not a verified global provider identity or market-wide client count.
Private funds & service providers
8 detailed fund recordsLargest reported gross asset value first; unreported values last. Gross asset value is fund-level disclosure, distinct from adviser AUM and Form D fundraising. Master and feeder funds may overlap.
MEDLEY OPPORTUNITY FUND II LPPrivate Equity Fund$121MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
RSM US LLP
PCAOB 49
Fund details & source
- Fund ID
- 805-1291685132
- Reported beneficial owners
- 31
- Minimum commitment
- $10M
- Form D file number
- 021-164540
Form ADV 1579791 · Jan 4, 2022 · Schedule D 7.B.(1)
Reported by MEDLEY CAPITAL LLC (CRD 167354).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
MEDLEY OPPORTUNITY FUND III LPPrivate Equity Fund$70.3MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
RSM US LLP
PCAOB 49
Fund details & source
- Fund ID
- 805-8131556921
- Reported beneficial owners
- 8
- Minimum commitment
- $100K
- Form D file number
- 021-232238
Form ADV 1579791 · Jan 4, 2022 · Schedule D 7.B.(1)
Reported by MEDLEY CAPITAL LLC (CRD 167354).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
CADDO INVESTOR HOLDINGS I LLCPrivate Equity Fund$52.2MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
RSM US LLP
PCAOB 49
Fund details & source
- Fund ID
- 805-1363424410
- Reported beneficial owners
- 3
- Minimum commitment
- $0
Form ADV 1579791 · Jan 4, 2022 · Schedule D 7.B.(1)
Reported by MEDLEY CAPITAL LLC (CRD 167354).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
ASPECT-MEDLEY INVESTMENT PLATFORM B LPPrivate Equity Fund$29.3MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
ERNST & YOUNG LLP
PCAOB 42
Fund details & source
- Fund ID
- 805-9487983576
- Reported beneficial owners
- 1
- Minimum commitment
- $0
Form ADV 1579791 · Jan 4, 2022 · Schedule D 7.B.(1)
Reported by MEDLEY CAPITAL LLC (CRD 167354).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
MEDLEY CREDIT OPPORTUNITY FUND LPPrivate Equity Fund · Master$28.6MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
ERNST & YOUNG
PCAOB 42
Fund details & source
- Fund ID
- 805-1596123945
- Reported beneficial owners
- 3
- Minimum commitment
- $10M
- Form D file number
- 021-264400
Form ADV 1579791 · Jan 4, 2022 · Schedule D 7.B.(1)
Reported by MEDLEY CAPITAL LLC (CRD 167354).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
ASPECT-MEDLEY INVESTMENT PLATFORM A LPPrivate Equity Fund$14.4MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
ERNST & YOUNG LLP
PCAOB 42
Fund details & source
- Fund ID
- 805-5570110440
- Reported beneficial owners
- 1
- Minimum commitment
- $0
Form ADV 1579791 · Jan 4, 2022 · Schedule D 7.B.(1)
Reported by MEDLEY CAPITAL LLC (CRD 167354).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
MEDLEY OPPORTUNITY FUND OFFSHORE III LPPrivate Equity Fund · Master$8.29MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
RSM US LLP
PCAOB 49
Fund details & source
- Fund ID
- 805-4067713102
- Reported beneficial owners
- 1
- Minimum commitment
- $0
Form ADV 1579791 · Jan 4, 2022 · Schedule D 7.B.(1)
Reported by MEDLEY CAPITAL LLC (CRD 167354).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
Services & filing details
Showing values from the selected filing. Latest observed filing does not establish current registration status.
What changed?
No comparable changes in the displayed metrics.
Filing source
Form ADV 1579791 · Jan 4, 2022 · Items 1 & 5
Reported by MEDLEY CAPITAL LLC (CRD 167354).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
Management of assets
- Discretionary
- $763M
- Non-discretionary
- $1.07B
Filing history · 0 annual filings
Adviser-level financial and staffing figures are unavailable in these annual filings. Select a filing to view its reported funds and providers.
Reported services
Pooled investment vehicle management · Business portfolio management
Compensation
Percentage of assets · Performance-based
Principal office
100 PARK AVENUE, 16TH FLOORNEW YORK, NY, 10017, United States
CRD 167354
Filing source
Form ADV 1579791 · Jan 4, 2022 · Items 1 & 5
Reported by MEDLEY CAPITAL LLC (CRD 167354).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.