SOFINNOVA INVESTMENTS, INC.: Investment Adviser Form ADV Filing

How this adviser has changed

Annual filings

Regulatory assets under management

Up to five fiscal years, using the latest annual update available at the selected filing date. Asset changes can reflect acquisitions, client flows, and valuations; they are not investment returns.

Annual adviser history and sources
Fiscal year	Regulatory AUM	Employees	Filed
2021	$3,898,285,640	31	Mar 30, 2022

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	8	$2,740,599,245	70.3%
Corporations & businesses	Fewer than 5	$1,157,686,395	29.7%

Filing source

Form ADV 1685500 · Nov 2, 2022 · Item 5.D

Reported by SOFINNOVA INVESTMENTS, INC. (CRD 160297).

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.

Private funds & service providers

1 selected fund records

Largest 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.

View all funds in this filing

SOFINNOVA SYNERGY MASTER FUND, LPHedge Fund · Feeder · Master$2.95MGross asset value

Search Form D filings →

Fund administrator CITCO FUND ADMINISTRATION (CAYMAN ISLANDS) LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →

Auditor KPMG, LLP SAN FRANCISCO, California, United States Other funds reporting this name →

Custodian CITCO BANK CANADA TORONTO, Canada Related to adviser: No Other funds reporting this name →

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →

Prime broker J.P. MORGAN SECURITIES INC. SAN FRANCISCO, California, United States Other funds reporting this name →

Provider details

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

KPMG, LLP
PCAOB 185

J.P. MORGAN SECURITIES LLC
SEC 8-35008

J.P. MORGAN SECURITIES INC.
CRD 18718 · SEC 8-36950

Fund details & source

Fund ID: 805-8980506507
Reported beneficial owners: 8
Minimum commitment: $500K

Form ADV 1685500 · Nov 2, 2022 · Schedule D 7.B.(1)

Reported by SOFINNOVA INVESTMENTS, INC. (CRD 160297).

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?

Since Sep 9, 2022 · previous imported filing

No comparable changes in the displayed metrics.

Filing source

Form ADV 1685500 · Nov 2, 2022 · Items 1 & 5

Reported by SOFINNOVA INVESTMENTS, INC. (CRD 160297).

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: $3.9B
Non-discretionary: $0

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

3000 SAND HILL ROAD, 4-250
MENLO PARK, CA, 94025, United States

CRD 160297

Filing source

Form ADV 1685500 · Nov 2, 2022 · Items 1 & 5

Reported by SOFINNOVA INVESTMENTS, INC. (CRD 160297).

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.