Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Private Funds
Private funds reported by Apollo Capital Credit Adviser, LLC
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Apollo Capital Credit Adviser, LLC.
Reported ownership and control details
Form ADV · Filing date 2026-03-31 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | APOLLO CAPITAL CREDIT ADVISER HOLDINGS, LLCSOLE MEMBERDomestic entity | APOLLO CAPITAL CREDIT ADVISER, LLC | 75% or moreCode E | Yes | SOLE MEMBER05/2022 | Schedule APDF page 50 |
| 2 | MARTIN BERNARD KELLYVICE PRESIDENTIndividual | APOLLO CAPITAL CREDIT ADVISER, LLC | Less than 5%Code NA | Yes | VICE PRESIDENT05/2022 | Schedule APDF page 50 |
| 3 | JAMES CHARLES ZELTERPRESIDENTIndividual | APOLLO CAPITAL CREDIT ADVISER, LLC | Less than 5%Code NA | Yes | PRESIDENT05/2022 | Schedule APDF page 50 |
| 4 | YAEL KENAN LEVYCHIEF COMPLIANCE OFFICERIndividual | APOLLO CAPITAL CREDIT ADVISER, LLC | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER05/2022 | Schedule APDF page 50 |
| 5 | SPENCER JACK PROPPERCHIEF OPERATING OFFICERIndividual | APOLLO CAPITAL CREDIT ADVISER, LLC | Less than 5%Code NA | Yes | CHIEF OPERATING OFFICER05/2022 | Schedule APDF page 50 |
| 6 | RYAN LOUIS MICHAEL DEL GIUDICEVICE PRESIDENTIndividual | APOLLO CAPITAL CREDIT ADVISER, LLC | Less than 5%Code NA | Yes | VICE PRESIDENT06/2022 | Schedule APDF page 50 |
| 7 | Kristin Marie HesterVICE PRESIDENTIndividual | APOLLO CAPITAL CREDIT ADVISER, LLC | Less than 5%Code NA | Yes | VICE PRESIDENT05/2022 | Schedule APDF page 50 |
| 8 | APOLLO CAPITAL MANAGEMENT, L.P.MANAGING MEMBERDomestic entity | APOLLO CAPITAL CREDIT ADVISER HOLDINGS, LLC | 75% or moreCode E | Yes | MANAGING MEMBER05/2022 | Schedule BPDF page 51 |
| 9 | APOLLO CAPITAL MANAGEMENT GP, LLCGENERAL PARTNERDomestic entity | APOLLO CAPITAL MANAGEMENT, L.P. | Percentage not specifiedCode F | Yes | GENERAL PARTNER01/2007 | Schedule BPDF page 51 |
| 10 | APOLLO MANAGEMENT HOLDINGS, L.P.LIMITED PARTNERDomestic entity | APOLLO CAPITAL MANAGEMENT, L.P. | 75% or moreCode E | Yes | LIMITED PARTNER01/2007 | Schedule BPDF page 51 |
| 11 | APOLLO MANAGEMENT HOLDINGS GP, LLCGENERAL PARTNERDomestic entity | APOLLO MANAGEMENT HOLDINGS, L.P. | Percentage not specifiedCode F | Yes | GENERAL PARTNER01/2007 | Schedule BPDF page 51 |
| 12 | AMH HOLDINGS (DELAWARE), L.P.LIMITED PARTNERDomestic entity | APOLLO MANAGEMENT HOLDINGS, L.P. | 75% or moreCode E | Yes | LIMITED PARTNER10/2012 | Schedule BPDF page 51 |
| 13 | AMH HOLDINGS GP, LTD.GENERAL PARTNERForeign entity | AMH HOLDINGS (DELAWARE), L.P. | Percentage not specifiedCode F | Yes | GENERAL PARTNER10/2012 | Schedule BPDF page 51 |
| 14 | APO CORP.LIMITED PARTNERDomestic entity | AMH HOLDINGS (DELAWARE), L.P. | 50% to less than 75%Code D | Yes | LIMITED PARTNER10/2012 | Schedule BPDF page 51 |
| 15 | APOLLO ASSET MANAGEMENT, INC.SOLE SHAREHOLDERDomestic entity | APO CORP. | 75% or moreCode E | Yes | SOLE SHAREHOLDER07/2007 | Schedule BPDF page 51 |
| 16 | APOLLO ASSET MANAGEMENT, INC.LIMITED PARTNERDomestic entity | AMH HOLDINGS (DELAWARE), L.P. | 25% to less than 50%Code C | Yes | LIMITED PARTNER09/2024 | Schedule BPDF page 51 |
| 17 | APOLLO GLOBAL MANAGEMENT, INC.SOLE SHAREHOLDERDomestic entity | APOLLO ASSET MANAGEMENT, INC. | 75% or moreCode E | Yes | SOLE SHAREHOLDER01/2022 | Schedule BPDF page 51 |
| 18 | APO CORP.SOLE MEMBERDomestic entity | APOLLO MANAGEMENT HOLDINGS GP, LLC | 75% or moreCode E | Yes | SOLE MEMBER07/2007 | Schedule BPDF page 51 |
| 19 | APO CORP.SOLE SHAREHOLDERDomestic entity | AMH HOLDINGS GP, LTD. | 75% or moreCode E | Yes | SOLE SHAREHOLDER10/2012 | Schedule BPDF page 51 |
| 20 | APOLLO MANAGEMENT HOLDINGS, L.P.MANAGING MEMBERDomestic entity | APOLLO CAPITAL MANAGEMENT GP, LLC | Percentage not specifiedCode F | Yes | MANAGING MEMBER01/2007 | Schedule BPDF page 51 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 3/31/2026 12:15:38 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions3 Yes2 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?Yes
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?Yes
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?Yes
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings1 Yes3 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?Yes
Additional DRP filings 3 source blocks
Verbatim excerpts from supporting DRP filings, which may concern the firm or advisory affiliates. Amounts retain their filed labels; no total or attribution is inferred.
regulatory · block 1PDF pages 52–53
Full extracted filing text
Includes form instructions and options. Options shown in this text do not identify which boxes were selected.
GENERAL INSTRUCTIONS This Disclosure Reporting Page (DRP ADV) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 11.C., 11.D., 11.E., 11.F. or 11.G. of Form ADV. Regulatory Action Check item(s) being responded to: 11.C(1) 11.C(2) 11.C(3) 11.C(4) 11.C(5) 11.D(1) 11.D(2) 11.D(3) 11.D(4) 11.D(5) 11.E(1) 11.E(2) 11.E(3) 11.E(4) 11.F. 11.G. Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page. One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP. PART I A. The person(s) or entity(ies) for whom this DRP is being filed is (are): You (the advisory firm) You and one or more of your advisory affiliates One or more of your advisory affiliates If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box. ADV DRP - ADVISORY AFFILIATE CRD Number: 143161 This advisory affiliate is a Firm an Individual Registered: Yes No Name: APOLLO CAPITAL MANAGEMENT, L.P. (For individuals, Last, First, Middle) CRD Number: 143158 This advisory affiliate is a Firm an Individual Registered: Yes No Name: APOLLO MANAGEMENT, L.P. (For individuals, Last, First, Middle) This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser. This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the adviser's or advisory affiliate's favor. If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any event listed in Item 11 that occurred more than ten years ago. This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the circumstances: B. If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided. Yes No NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records. PART II 1. Regulatory Action initiated by: SEC Other Federal State SRO Foreign (Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 2. Principal Sanction: Other Sanctions: 3. Date Initiated (MM/DD/YYYY): Exact Explanation If not exact, provide explanation: 4. Docket/Case Number: 5. Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable): 6. Principal Product Type: Other Product Types: 7. Describe the allegations related to this regulatory action (your response must fit within the space provided): 8. Current Status? Pending On Appeal Final 9. If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed: If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only. 10. How was matter resolved: 11. Resolution Date (MM/DD/YYYY): Exact Explanation If not exact, provide explanation: 12. Resolution Detail: A. Were any of the following Sanctions Ordered (check all appropriate items)? Monetary/Fine Amount: $ Revocation/Expulsion/Denial Disgorgement/Restitution Censure Cease and Desist/Injunction Bar Suspension B. Other Sanctions Ordered: Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion of penalty was waived: 13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response must fit within the space provided).
civil judicial · block 1PDF pages 53–56
Full extracted filing text
Includes form instructions and options. Options shown in this text do not identify which boxes were selected.
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an
INITIAL OR
AMENDED response used to report details for affirmative responses to Item 11.H. of Part 1A
or Item 2.F. of Part 1B of Form ADV.
Civil Judicial
Check Part 1A item(s) being responded to:
11.H(1)(a)
11.H(1)(b)
11.H(1)(c)
11.H(2)
Check Part 1B item(s) being responded to:
2.F(1)
2.F(2)
2.F(3)
2.F(4)
2.F(5)
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File with a
completed Execution Page.
One event may result in more than one affirmative answer to Item 11.H. of Part 1A or Item 2.F. of Part 1B. Use only one DRP to report details related to the
same event. Unrelated civil judicial actions must be reported on separate DRPs.
PART I
A. The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name).
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT GP, LLC
(For individuals, Last, First,
Middle)
CRD
Number:
This advisory affiliate is
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT
HOLDINGS, L.P.
(For individuals, Last, First,
Middle)
CRD
Number:
This advisory affiliate is
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO GLOBAL MANAGEMENT,
INC. F/K/A APOLLO GLOBAL
MANAGEMENT, LLC
(For individuals, Last, First,
Middle)
CRD
Number:
This advisory affiliate is
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT
HOLDINGS GP, LLC
(For individuals, Last, First,
Middle)
CRD
Number:
143158
This advisory affiliate is
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT, L.P.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.H.(1)
(a), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any event
listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances:
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to the
IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
Yes
No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1. Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.)
LEAD PLAINTIFFS: GOLDSTRAND INVESTMENTS INC., RICHARD KREBSBACH, HOWARD KATZ, DANIEL M. SWEET AND ROBERT LOWINGER
2.
Principal Relief Sought:
Money Damages (Private/Civil Complaint)
Other Relief Sought:
INJUNCTION; ATTORNEY'S FEES AND RELATED COSTS
3.
Filing Date of Court Action (MM/DD/YYYY):
08/24/2018
Exact
Explanation
If not exact, provide explanation:
4.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types:
5.
Formal Action was brought in (include name of Federal, State or Foreign Court, Location of Court - City or County and State or Country, Docket/Case
Number):
CIRCUIT COURT OF THE 15TH JUDICIAL CIRCUIT IN PALM BEACH COUNTY, FLORIDA, DKT. NO. 502018CA00349XXXXMB-AG
6.
Advisory Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable):
7.
Describe the allegations related to this civil action (your response must fit within the space provided):
PLAINTIFF BROUGHT A SECURITIES CLASS ACTION ON BEHALF OF ALL THOSE WHO PURCHASED ADT INC. ("ADT") COMMON STOCK IN OR TRACEABLE TO
ADT'S JANUARY 19, 2018 INITIAL PUBLIC STOCK OFFERING (THE "IPO"), SEEKING TO PURSUE REMEDIES UNDER THE SECURITIES ACT OF 1933 (THE "1933
ACT") AGAINST THE ISSUER, ADT, AND A NUMBER OF OTHER DEFENDANTS, INCLUDING APOLLO MANAGEMENT, L.P., THE APPLICANT, AND SEVERAL OF ITS
ADVISORY AFFILIATES. THE PLAINTIFF ALLEGES, AMONG OTHER THINGS, THAT THE DEFENDANTS VIOLATED SEVERAL PROVISIONS OF THE 1933 ACT. AS IT
RELATES TO APOLLO MANAGEMENT, L.P. AND SEVERAL OF ITS ADVISORY AFFILIATES, PLAINTIFF ASSERTS A CLAIM FOR VIOLATION OF SECTION 15(A) OF
THE 1933 ACT AS A RESULT OF THE ALLEGED MISSTATEMENTS AND OMISSIONS IN THE REGISTRATION STATEMENT AND IN THE PREPARATION OF THE
PROSPECTUS FOR THE IPO.
8.
Current Status?
Pending
On Appeal
Final
9.
If on appeal, action appealed to (provide name of court) and Date Appeal Filed (MM/DD/YYYY):
10. If pending, date notice/process was served (MM/DD/YYYY):
Exact
Explanation
If not exact, provide explanation:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.
11. How was matter resolved:
Judgment Rendered
12. Resolution Date (MM/DD/YYYY):
01/08/2021
Exact
Explanation
If not exact, provide explanation:
13. Resolution Detail:
A. Were any of the following Sanctions Ordered or Relief Granted(check appropriate items)?
Monetary/Fine Amount: $ 0.00
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions:
C.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement, or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion of
penalty was waived:
THE COURT'S ORDER AND JUDGMENT DISMISSING THE ACTION TERMINATED ALL CLAIMS AGAINST THE APOLLO ENTITIES WITHOUT ANY
ADMISSIONS OR FINDINGS OF LIABILITY AND WITHOUT IMPOSING ANY FEES, COSTS, DAMAGES, OR SANCTIONS ON THE APOLLO ENTITIES.
14. Provide a brief summary of circumstances related to the action(s), allegation(s), disposition(s) and/or finding(s) disclosed above (your response must fit
within the space provided).
PLAINTIFF BROUGHT A SECURITIES CLASS ACTION ON BEHALF OF ALL THOSE WHO PURCHASED ADT COMMON STOCK IN OR TRACEABLE TO ADT'S
JANUARY 19, 2018 IPO, SEEKING TO PURSUE REMEDIES UNDER 1933 ACT AGAINST THE ISSUER, ADT, AND A NUMBER OF OTHER DEFENDANTS, INCLUDING
APOLLO MANAGEMENT, L.P., THE APPLICANT, AND SEVERAL OF ITS ADVISORY AFFILIATES. THE PLAINTIFF ALLEGES, AMONG OTHER THINGS, THAT THE
DEFENDANTS VIOLATED SEVERAL PROVISIONS OF THE 1933 ACT. AS IT RELATES TO APOLLO MANAGEMENT, L.P. AND SEVERAL OF ITS ADVISORY
AFFILIATES, PLAINTIFF ASSERTS A CLAIM FOR VIOLATION OF SECTION 15(A) OF THE 1933 ACT AS A RESULT OF ALLEGED MISSTATEMENTS AND
OMISSIONS IN THE REGISTRATION STATEMENT FOR THE IPO. THE COURT'S ORDER AND JUDGMENT DISMISSING THE ACTION (1) TERMINATED ALL CLAIMS
AGAINST THE APOLLO ENTITIES WITHOUT ANY ADMISSIONS OR FINDINGS OF LIABILITY AND WITHOUT IMPOSING ANY FEES, COSTS, DAMAGES, OR
SANCTIONS ON THE APOLLO ENTITIES; AND (2) BARRED SIMILAR CLAIMS FROM BEING ASSERTED AGAINST THE APOLLO ENTITIES IN FUTURE ACTIONS.civil judicial · block 2PDF pages 56–58
Full extracted filing text
Includes form instructions and options. Options shown in this text do not identify which boxes were selected.
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an
INITIAL OR
AMENDED response used to report details for affirmative responses to Item 11.H. of Part 1A
or Item 2.F. of Part 1B of Form ADV.
Civil Judicial
Check Part 1A item(s) being responded to:
11.H(1)(a)
11.H(1)(b)
11.H(1)(c)
11.H(2)
Check Part 1B item(s) being responded to:
2.F(1)
2.F(2)
2.F(3)
2.F(4)
2.F(5)
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File with a
completed Execution Page.
One event may result in more than one affirmative answer to Item 11.H. of Part 1A or Item 2.F. of Part 1B. Use only one DRP to report details related to the
same event. Unrelated civil judicial actions must be reported on separate DRPs.
PART I
A. The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name).
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT GP, LLC
(For individuals, Last, First,
Middle)
CRD
Number:
This advisory affiliate is
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT
HOLDINGS GP, LLC
(For individuals, Last, First,
Middle)
CRD
Number:
This advisory affiliate is
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT
HOLDINGS, L.P.
(For individuals, Last, First,
Middle)
CRD
Number:
143158
This advisory affiliate is
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT, L.P.
(For individuals, Last, First,
Middle)
CRD
Number:
This advisory affiliate is
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO GLOBAL MANAGEMENT,
INC. F/K/A APOLLO GLOBAL
MANAGEMENT, LLC
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.H.(1)
(a), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any event
listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances:
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to the
IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
Yes
No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1. Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.)
COURT ACTION INITIATED BY PRIVATE LEAD PLAINTIFF HUSAM ASSAF ENTITLED: PERDOMO V. ADT INC, ET AL.
2.
Principal Relief Sought:
Money Damages (Private/Civil Complaint)
Other Relief Sought:
PREJUDGEMENT AND POST-JUDGEMENT INTEREST, PLUS ATTORNEY'S AND EXPERT FEES AND RELATED COSTS
3.
Filing Date of Court Action (MM/DD/YYYY):
05/21/2018
Exact
Explanation
If not exact, provide explanation:
WHILE THE INITIAL COMPLAINT IN THIS CASE WAS FILED 5/21/2018 AGAINST APOLLO GLOBAL MANAGEMENT, INC. F/K/A APOLLO GLOBAL MANAGEMENT,
LLC, AN ADVISORY AFFILIATE OF THE APPLICANT, APOLLO MANAGEMENT, L.P., IT WAS NEVER SERVED WITH A COPY OF THE COMPLAINT. AN AMENDED
COMPLAINT WAS FILED ON 1/15/2019, NAMING THE APPLICANT, APOLLO MANAGEMENT, L.P., AND SEVERAL OF ITS ADVISORY AFFILIATES.
4.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types:
5.
Formal Action was brought in (include name of Federal, State or Foreign Court, Location of Court - City or County and State or Country, Docket/Case
Number):
UNITED STATES DISTRICT COURT, SOUTHERN DISTRICT OF FLORIDA, CIVIL ACTIONS NO. 9:18-CV-80668-DMM
6.
Advisory Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable):
7.
Describe the allegations related to this civil action (your response must fit within the space provided):
PLAINTIFF BROUGHT A SECURITIES CLASS ACTION ON BEHALF OF THOSE WHO PURCHASED ADT INC. ("ADT") COMMON STOCK IN OR TRACEABLE TO ADT'S
JANUARY 19, 2018 INITIAL PUBLIC STOCK OFFERING (THE "IPO"), SEEKING TO PURSUE REMEDIES UNDER THE SECURITIES ACT OF 1933 (THE "1933 ACT")
AGAINST THE ISSUER, ADT, AND A NUMBER OF OTHER DEFENDANTS, INCLUDING APOLLO MANAGEMENT, L.P., THE APPLICANT, AND SEVERAL OF ITS
ADVISORY AFFILIATES. THE PLAINTIFF ALLEGES, AMONG OTHER THINGS, THAT THE DEFENDANTS VIOLATED SEVERAL PROVISIONS OF THE 1933 ACT. AS IT
RELATES TO APOLLO MANAGEMENT, L.P. AND SEVERAL OF ITS ADVISORY AFFILIATES, PLAINTIFF ASSERTS A CLAIM FOR VIOLATION OF SECTIONS 11 AND
15(A) OF THE 1933 ACT AS A RESULT OF THE ALLEGED MISSTATEMENTS AND OMISSIONS IN THE REGISTRATION STATEMENT AND IN THE PREPARATION OF
THE PROSPECTUS FOR THE IPO.
8.
Current Status?
Pending
On Appeal
Final
9.
If on appeal, action appealed to (provide name of court) and Date Appeal Filed (MM/DD/YYYY):
10. If pending, date notice/process was served (MM/DD/YYYY):
Exact
Explanation
If not exact, provide explanation:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.
11. How was matter resolved:
Dismissed
12. Resolution Date (MM/DD/YYYY):
01/08/2021
Exact
Explanation
If not exact, provide explanation:
13. Resolution Detail:
A. Were any of the following Sanctions Ordered or Relief Granted(check appropriate items)?
Monetary/Fine Amount: $ 0.00
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions:
C.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement, or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion of
penalty was waived:
THE COURT'S ORDER AND JUDGMENT DISMISSING THE ACTION (1) TERMINATED ALL CLAIMS AGAINST THE APOLLO ENTITIES WITHOUT ANY
ADMISSIONS OR FINDINGS OF LIABILITY AND WITHOUT IMPOSING ANY FEES, COSTS, DAMAGES, OR SANCTIONS ON THE APOLLO ENTITIES; AND (2)
BARRED SIMILAR CLAIMS FROM BEING ASSERTED AGAINST THE APOLLO ENTITIES IN FUTURE ACTIONS.
14. Provide a brief summary of circumstances related to the action(s), allegation(s), disposition(s) and/or finding(s) disclosed above (your response must fit
within the space provided).
PLAINTIFF BROUGHT A SECURITIES CLASS ACTION ON BEHALF OF ALL THOSE WHO PURCHASED ADT COMMON STOCK IN OR TRACEABLE TO ADT'S
JANUARY 19, 2018 IPO, SEEKING TO PURSUE REMEDIES UNDER THE 1933 ACT AGAINST THE ISSUER, ADT, AND A NUMBER OF OTHER DEFENDANTS,
INCLUDING APOLLO MANAGEMENT, L.P., THE APPLICANT, AND SEVERAL OF ITS ADVISORY AFFILIATES. THE PLAINTIFF ALLEGES, AMONG OTHER THINGS,
THAT THE DEFENDANTS VIOLATED SEVERAL PROVISIONS OF THE 1933 ACT. AS IT RELATES TO APOLLO MANAGEMENT, L.P. AND SEVERAL OF ITS ADVISORY
AFFILIATES, PLAINTIFF ASSERTS A CLAIM FOR VIOLATION OF SECTIONS 11 AND 15(A) OF THE 1933 ACT AS A RESULT OF THE ALLEGED MISSTATEMENTS
AND OMISSIONS IN THE REGISTRATION STATEMENT AND IN THE PREPARATION OF THE PROSPECTUS FOR THE IPO.THE COURT'S ORDER AND JUDGMENT
DISMISSING THE ACTION (1) TERMINATED ALL CLAIMS AGAINST THE APOLLO ENTITIES WITHOUT ANY ADMISSIONS OR FINDINGS OF LIABILITY AND
WITHOUT IMPOSING ANY FEES, COSTS, DAMAGES, OR SANCTIONS ON THE APOLLO ENTITIES; AND (2) BARRED SIMILAR CLAIMS FROM BEING ASSERTED
AGAINST THE APOLLO ENTITIES IN FUTURE ACTIONS.* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.