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.
CITI PRIVATE ADVISORY, LLC
Marketer · funds reporting this exact name in the selected filing
These are reported-name connections within this adviser's filing, not a verified global provider identity or market-wide client count.
Private funds & service providers
7 detailed 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 VENTURE PARTNERS X, L.P.Venture Capital Fund$890MGross 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
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
BDO USA, LLP
PCAOB 243
J.P. MORGAN SECURITIES LLC
SEC 8-35008
Fund details & source
- Fund ID
- 805-5220923838
- Reported beneficial owners
- 59
- Minimum commitment
- $500K
- Form D file number
- 021-269425
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.
SOFINNOVA BIOEQUITIES ENHANCED MASTER FUND, LPHedge Fund · Feeder · Master$627MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
See filing for more → Showing the first 6 providers by role and name. IAPD may show a newer filing.
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
KPMG, LLP
PCAOB 185
GOLDMAN SACHS & CO. LLC
SEC 8-129
Fund details & source
- Fund ID
- 805-6350579768
- Reported beneficial owners
- 12
- Minimum commitment
- $3M
- Form D file number
- 021-461670
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.
SOFINNOVA VENTURE PARTNERS XI, L.P.Venture Capital Fund$477MGross 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
- No
- Custodians
- No
- Administrator other than the adviser
- No
- External marketing
- Yes
BDO USA, LLP
PCAOB 243
CITI PRIVATE ADVISORY, LLC
CRD 153777 · SEC 8-69789
CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 801-3387
Fund details & source
- Fund ID
- 805-2545304640
- Reported beneficial owners
- 47
- Minimum commitment
- $500K
- Form D file number
- 021-412971
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.
SOFINNOVA VENTURE PARTNERS IX, L.P.Venture Capital Fund$352MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
See filing for more → Showing the first 6 providers by role and name. IAPD may show a newer filing.
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
BDO USA, LLP
PCAOB 243
J.P. MORGAN SECURITIES LLC
SEC 8-35008
Fund details & source
- Fund ID
- 805-7213314073
- Reported beneficial owners
- 52
- Minimum commitment
- $500K
- Form D file number
- 021-220776
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.
SOFINNOVA BIOEQUITIES MASTER FUND, LTD.Hedge Fund · Master$213MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
See filing for more → Showing the first 6 providers by role and name. IAPD may show a newer filing.
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
KPMG, LLP
PCAOB 185
GOLDMAN SACHS & CO. LLC
SEC 8-129
Fund details & source
- Fund ID
- 805-6556194744
- Reported beneficial owners
- 56
- Minimum commitment
- $3M
- Form D file number
- 021-286773
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.
SOFINNOVA VENTURE PARTNERS VIII, L.P.Venture Capital Fund$73MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
See filing for more → Showing the first 6 providers by role and name. IAPD may show a newer filing.
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
BDO USA, LLP
PCAOB 243
CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177
COWEN AND COMPANY, LLC
SEC 8-22522
Fund details & source
- Fund ID
- 805-5194830614
- Reported beneficial owners
- 41
- Minimum commitment
- $500K
- Form D file number
- 021-162162
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.
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.