Investment adviser · CRD 160360

RFE MANAGEMENT CORPORATION

Investment adviser filing (IA)

WESTPORT, CT, United States · Form ADV filed Mar 31, 2026

Regulatory AUM: $913M
Client accounts: 7
Employees: 17
Advisory professionals: 15

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	7	$913,305,568	100.0%

Filing source

Form ADV 2084317 · Mar 31, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

9 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

RFE INVESTMENT PARTNERS IX, L.P.Private Equity Fund · Last reported Mar 31, 2026$422MGross asset value

Form D fundraising filings

RFE Investment Partners IX, L.P.

Fund administrator CSC FUND SERVICES NORTH AMERICA LLC LIVINGSTON, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON LLP PHILADELPHIA, Pennsylvania, United States

Custodian BANC OF CALIFORNIA LOS ANGELES, California, United States Related to adviser: No

Marketer ATLANTIC - PACIFIC CAPITAL, INC. STAMFORD, Connecticut, United States Related to adviser: No

Marketer B. RILEY SECURITIES, INC. ARLINGTON, Virginia, United States Related to adviser: No

Marketer M2O PRIVATE FUND ADVISORS LLC WHITE PLAINS, New York, United States Related to adviser: No

Marketer PTP SECURITIES, LLC SIMSBURY, Connecticut, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

GRANT THORNTON LLP
PCAOB 248

ATLANTIC - PACIFIC CAPITAL, INC.
CRD 38356 · SEC 8-48198

B. RILEY SECURITIES, INC.
CRD 25027 · SEC 8-41426

M2O PRIVATE FUND ADVISORS LLC
CRD 158741 · SEC 8-68917

PTP SECURITIES, LLC
CRD 136832 · SEC 8-67059

Fund details & source

Fund ID: 805-7545447953
Reported beneficial owners: 62
Minimum commitment: $5M
Form D file number: 021-361462

Form ADV 2084317 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

RFE INVESTMENT PARTNERS VIII, L.P.Private Equity Fund · Last reported Mar 31, 2026$226MGross asset value

Form D fundraising filings

RFE Investment Partners VIII, L.P.

Feeder funds

RFE VIII-A, L.P.

Fund administrator CSC FUND SERVICES NORTH AMERICA LLC LIVINGSTON, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON LLP PHILADELPHIA, Pennsylvania, United States

Custodian BANC OF CALIFORNIA LOS ANGELES, California, United States Related to adviser: No

Marketer PTP SECURITIES, LLC SIMSBURY, Connecticut, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

GRANT THORNTON LLP
PCAOB 248

PTP SECURITIES, LLC
CRD 136832 · SEC 8-67059

Fund details & source

Fund ID: 805-3484930477
Reported beneficial owners: 44
Minimum commitment: $5M
Form D file number: 021-165015

Form ADV 2084317 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

RFE TBP SPV, LPPrivate Equity Fund · Last reported Mar 31, 2026$170MGross asset value

Form D fundraising filings

RFE TBP SPV, LP

Fund administrator CSC FUND SERVICES NORTH AMERICA LLC LIVINGSTON, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON LLP PHILADELPHIA, Pennsylvania, United States

Custodian BANC OF CALIFORNIA LOS ANGELES, California, United States Related to adviser: No

Marketer ATLANTIC - PACIFIC CAPITAL, INC. STAMFORD, Connecticut, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

GRANT THORNTON LLP
PCAOB 248

ATLANTIC - PACIFIC CAPITAL, INC.
CRD 38356 · SEC 8-48198

Fund details & source

Fund ID: 805-4626877806
Reported beneficial owners: 12
Minimum commitment: $5M
Form D file number: 021-467567

Form ADV 2084317 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

RFE INVESTMENT PARTNERS X, L.P.Private Equity Fund · Last reported Mar 31, 2026$55.1MGross asset value

Form D fundraising filings

RFE Investment Partners X, L.P.

Fund administrator CSC FUND SERVICES NORTH AMERICA LLC LIVINGSTON, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON LLP PHILADELPHIA, Pennsylvania, United States

Custodian FIFTH THIRD BANK, NATIONAL ASSOCIATION CINCINNATI, Ohio, United States Related to adviser: No

Marketer AMPLIFY COMMUNITY INVESTMENT PARTNERS, LLC MIAMI BEACH, Florida, United States Related to adviser: No

Marketer B. RILEY SECURITIES, INC. ARLINGTON, Virginia, United States Related to adviser: No

Marketer STONEHAVEN, LLC NEW YORK, New York, United States Related to adviser: No

Marketer SUTTON HILL, LLC PITTSBURGH, Pennsylvania, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

GRANT THORNTON LLP
PCAOB 248

AMPLIFY COMMUNITY INVESTMENT PARTNERS, LLC
CRD 326530 · SEC 8-71089

B. RILEY SECURITIES, INC.
CRD 25027 · SEC 8-41426

STONEHAVEN, LLC
CRD 118913 · SEC 8-53699

Fund details & source

Fund ID: 805-2054990044
Reported beneficial owners: 8
Minimum commitment: $5M
Form D file number: 021-566338

Form ADV 2084317 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

RFE IX PARALLEL, L.P.Private Equity Fund · Last reported Mar 31, 2026$26.4MGross asset value

Form D fundraising filings

RFE IX Parallel, L.P.

Fund administrator CSC FUND SERVICES NORTH AMERICA LLC LIVINGSTON, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON LLP PHILADELPHIA, Pennsylvania, United States

Custodian BANC OF CALIFORNIA LOS ANGELES, California, United States Related to adviser: No

Marketer B. RILEY SECURITIES, INC. ARLINGTON, Virginia, United States Related to adviser: No

Marketer PTP SECURITIES, LLC SIMSBURY, Connecticut, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

GRANT THORNTON LLP
PCAOB 248

B. RILEY SECURITIES, INC.
CRD 25027 · SEC 8-41426

PTP SECURITIES, LLC
CRD 136832 · SEC 8-67059

Fund details & source

Fund ID: 805-2250848157
Reported beneficial owners: 6
Minimum commitment: $5M
Form D file number: 021-327806

Form ADV 2084317 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

RFE INVESTMENT PARTNERS VII, L.P.Private Equity Fund · Last reported Mar 31, 2026$14.2MGross asset value

Fund administrator CSC FUND SERVICES NORTH AMERICA LLC LIVINGSTON, New Jersey, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor GRANT THORNTON LLP PHILADELPHIA, Pennsylvania, United States

Custodian BANC OF CALIFORNIA LOS ANGELES, California, United States Related to adviser: No

Marketer PTP SECURITIES, LLC SIMSBURY, Connecticut, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

GRANT THORNTON LLP
PCAOB 248

PTP SECURITIES, LLC
CRD 136832 · SEC 8-67059

Fund details & source

Fund ID: 805-6431846208
Reported beneficial owners: 39
Minimum commitment: $5M
Form D file number: 021-116423

Form ADV 2084317 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

RFE VI SBIC, L.P.Private Equity Fund · Last reported Feb 14, 2012$18MGross asset value

Feeder funds

RFE INVESTMENT PARTNERS VI, L.P.

Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States

Custodian U.S. TRUST, BANK OF AMERICA PRIVATE WEALTH MANAGEMENT STAMFORD, Connecticut, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

Fund details & source

Fund ID: 805-8983068048
Reported beneficial owners: 18
Minimum commitment: $2M
Form D file number: 021-9999999999

Form ADV 604100 · Feb 14, 2012 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 31, 2026. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

10 WRIGHT STREET
WESTPORT, CT, 06880-3115, United States

CRD 160360

Filing source

Form ADV 2084317 · Mar 31, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.