Investment adviser · CRD 160297
SOFINNOVA INVESTMENTS, INC.
MENLO PARK, CA, United States · Form ADV filed Mar 29, 2023
- Regulatory AUM
- $3.71B Form ADV · Item 5.F
- Client accounts
- 16 Accounts, not individual clients
- Employees
- 34 Reported in this filing
- Advisory professionals
- 16 Investment advisory functions
How this adviser has changed
Annual filingsRegulatory 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.
| Fiscal year | Regulatory AUM | Employees | Filed |
|---|---|---|---|
| 2021 | $3,898,285,640 | 31 | Mar 30, 2022 |
| 2022 | $3,710,990,770 | 34 | Mar 29, 2023 |
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Pooled investment vehicles | 10 | $2,636,141,264 | 71.0% |
| Corporations & businesses | 6 | $1,074,849,506 | 29.0% |
Filing source
Form ADV 1732451 · Mar 29, 2023 · Item 5.D
Reported by SOFINNOVA INVESTMENTS, INC. (CRD 160297).
Annual Updating Amendment for Registered Adviser · fiscal year 2022.
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 recordsLargest 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.
SOFINNOVA SYNERGY MASTER FUND, LPHedge Fund · Feeder · Master$3.63MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
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
- 12
- Minimum commitment
- $500K
- Form D file number
- 021-405750
Form ADV 1732451 · Mar 29, 2023 · Schedule D 7.B.(1)
Reported by SOFINNOVA INVESTMENTS, INC. (CRD 160297).
Annual Updating Amendment for Registered Adviser · fiscal year 2022.
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 Nov 2, 2022 · previous imported filing
- Regulatory AUM$3,898,285,640 → $3,710,990,770
- Client accounts12 → 16
- Employees31 → 34
Filing source
Form ADV 1732451 · Mar 29, 2023 · Items 1 & 5
Reported by SOFINNOVA INVESTMENTS, INC. (CRD 160297).
Annual Updating Amendment for Registered Adviser · fiscal year 2022.
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
- $3.71B
- Non-discretionary
- $0
Reported services
Pooled investment vehicle management · Business portfolio management
Compensation
Percentage of assets · Performance-based
Principal office
3000 SAND HILL ROAD, 4-250MENLO PARK, CA, 94025, United States
CRD 160297
Filing source
Form ADV 1732451 · Mar 29, 2023 · Items 1 & 5
Reported by SOFINNOVA INVESTMENTS, INC. (CRD 160297).
Annual Updating Amendment for Registered Adviser · fiscal year 2022.
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.