Zachary C. Mccarroll

APOGEM CAPITAL LLC

Austin, TX 78701

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CRD#: 6374553

Professional summary

Zachary Cade Mccarroll, who also goes by Zac Mccarroll, is a registered financial advisor currently at APOGEM CAPITAL LLC located in Austin, Texas and NYLIFE DISTRIBUTORS LLC located in Richmond, Virginia.

Zachary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Zachary has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Zac Mccarroll

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zachary Cade Mccarroll's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 10, 2020 - Present

APOGEM CAPITAL LLC

Office #1: 500 West 2nd Street Suite 1900, Austin, TX 78701

RIA

CRD#: 309234

Austin, TX

Current

September 29, 2014 - Present

NYLIFE DISTRIBUTORS LLC

Office #1: 1408-a Roseneath Road, Richmond, VA 23230

CRD#: 35350

RICHMOND, VA

Past

May 15, 2015 - June 19, 2020

PRIVATE ADVISORS LLC

RIA

CRD#: 109247

RICHMOND, VA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

APOGEM CAPITAL LLC

APOGEM CAPITAL LLC | RIDGELAKE PARTNERS (NYLI) | NEW YORK LIFE INVESTMENTS ALTERNATIVES LLC

CRD#: 309234 / SEC#: 801-118844

RIA

Registered Investment Advisory firm - (6/3/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(12/22/2015)

New York
(12/22/2015)

Texas
(1/13/2015)

IAR

Texas
(6/10/2020)

Virginia
(1/9/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/9/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/29/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

APOGEM CAPITAL LLC

APOGEM CAPITAL LLC | RIDGELAKE PARTNERS (NYLI) | NEW YORK LIFE INVESTMENTS ALTERNATIVES LLC

CRD#: 309234 / SEC#: 801-118844

RIA

Registered Investment Advisory firm - (6/3/2020 Approved)

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Contact information

Main Address

299 Park Avenue 37th Floor, New York, NY 10171

Mailing Address

Phone number

(212) 601-3600

Established

Firm type

Fiscal year end

# of Employees

257

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APOGEM CAPITAL LLC (7/31/2025)

Regulatory assets under management

Total Number of Accounts	133
AUM (Assets Under Management)	$ 40,645,545,384

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Zachary C. Mccarroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zachary Cade Mccarroll's CRS (Customer Relationship Summary).

Certified licenses

Experience

APOGEM CAPITAL LLC

NYLIFE DISTRIBUTORS LLC

PRIVATE ADVISORS LLC

Primary Firm SEC Registration

APOGEM CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/9/2015

SIE

Date: 10/1/2018

Series 7

Date: 9/29/2014

FINRA

Current Firm

APOGEM CAPITAL LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

APOGEM CAPITAL LLC

TRUST BUT VERIFY

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