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APOLLO S3 RIC MANAGEMENT, L.P.

NEW YORK, NY · CRD 330339 · IAPD ↗ · 212-515-3200

$423.8MRegulatory AUM
912Advisory reps
3564Employees
0Clients
n/aPlanning clients
0Private funds
1States
5Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

43
April 2026 — APOLLO S3 RIC MANAGEMENT, L.P. added office(s): 26 -> 28 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
April 2026 — APOLLO S3 RIC MANAGEMENT, L.P. reported RAUM up 160% ($163.2M -> $423.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
73
April 2026 — APOLLO S3 RIC MANAGEMENT, L.P. grew from 842 to 912 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
40
April 2025 — APOLLO S3 RIC MANAGEMENT, L.P. shrank from 2540 to 842 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
40
February 2025 — APOLLO S3 RIC MANAGEMENT, L.P.'s Item 11 disclosure-reporting entries rose by 3 (2 -> 5).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
60
August 2024 — APOLLO S3 RIC MANAGEMENT, L.P.'s provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
85
April 2024 — APOLLO S3 RIC MANAGEMENT, L.P. (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2540 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.