Form D · Other Investment Fund

ICONIQ Access 9, LP

San Francisco, CA · CIK 0001572803

Offering snapshot reported Jan 21, 2015 · SEC filing

Reported sold: $114M
Investors reported: 123
Minimum accepted: $10K
First sale: Mar 28, 2013

Fundraising history

Reported sold

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

Reported sold$89,535,000 → $113,560,000
Reported investors101 → 123

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jan 21, 2015	Amendment	$113,560,000	$24,025,000vs Feb 4, 2014	123	SEC filing
Feb 4, 2014	Amendment	$89,535,000	No comparison	101	SEC filing
Feb 4, 2014	Amendment	$89,535,000	No comparison	101	SEC filing
Sep 12, 2013	Amendment	Yet to sell	No comparison	0	SEC filing
Mar 26, 2013	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-193960

Source: Form D, filed Jan 21, 2015. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

ICONIQ ACCESS 9, LP

Investment adviser: ICONIQ CAPITAL, LLC

Gross asset value: $0
Beneficial owners: 0
ADV minimum commitment: $0

Reported in Form ADV on May 18, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STRATA FUND SOLUTIONS LLC SALT LAKE CITY, Utah, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor KPMG LLP SAN FRANCISCO, California, United States

Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, United States Related to adviser: No

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Provider details

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

KPMG LLP
PCAOB 185

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

Filing source

Form ADV 1218756 · May 18, 2018 · Schedule D 7.B.(1), fund 805-9083061043

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

Related funds

Funds whose names form a numbered series with this one and that share its city or the name of a related person. Form D does not state how these funds are related.

Fund	Latest Form D	Reported sold	Investors
ICONIQ Access 3, LP	Dec 24, 2015	$103,170,000	84
ICONIQ Access 4, LP	Jan 28, 2016	$56,205,000	92
ICONIQ Access 5, LP	Nov 10, 2014	$27,750,000	52
ICONIQ Access 6, LP	Sep 28, 2016	$38,325,000	19
ICONIQ Access 7, LP	Jan 5, 2016	$85,615,000	126
ICONIQ Access 8, LP	Jan 5, 2016	$106,540,000	123
ICONIQ Access 9, LP (this fund)	Jan 21, 2015	$113,560,000	123
ICONIQ Access 10, LP	Dec 14, 2016	$104,548,000	113
ICONIQ Access 11, LP	Nov 10, 2014	$96,150,000	75
ICONIQ Access 12, LP	Dec 14, 2016	$241,960,000	186
ICONIQ Access 13, LP	Feb 6, 2019	$108,665,000	93
ICONIQ Access 14, LP	Sep 30, 2014	$78,908,853	54

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
Iconiq Capital, Llc	Executive
Divesh Makan	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

394 Pacific Ave. 2 Nd Floor
San Francisco, CA, 94111