Form D · Private Equity Fund

Vivo Capital Fund IX, L.P.

Palo Alto, CA · CIK 0001750117

Offering snapshot reported Oct 30, 2019 · SEC filing

Reported sold: $1.4B
Investors reported: 44
Minimum accepted: $0
First sale: Aug 20, 2018

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$1,304,978,261 → $1,401,787,761
Reported investors38 → 44

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Oct 30, 2019	Amendment	$1,401,787,761	$96,809,500vs Aug 12, 2019	44	SEC filing
Aug 12, 2019	Amendment	$1,304,978,261	$24,000,000vs Jun 3, 2019	38	SEC filing
Jun 3, 2019	Amendment	$1,280,978,261	$417,000,000vs Jan 23, 2019	36	SEC filing
Jan 23, 2019	Amendment	$863,978,261	$0vs Dec 6, 2018	29	SEC filing
Dec 6, 2018	Amendment	$863,978,261	No comparison	29	SEC filing
Aug 16, 2018	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: $10.3M
Finders' fees: $0
Form D file number: 021-319413

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Probitas Funds Group, LLC	115876	Probitas Funds Group, LLC · CRD 115876
China Concept Consulting Ltd.	None
Gold Eagle Enterprises Limited	677370
Goldman Sachs & Co. LLC	361	Goldman Sachs & Co. LLC · CRD 361
XT Capital Partners, LLC	118719	XT Capital Partners, LLC · CRD 118719

Source: Form D, filed Oct 30, 2019. 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

VIVO CAPITAL FUND IX, L.P.

Investment adviser: VIVO CAPITAL LLC

Gross asset value: $1.83B
Beneficial owners: 46
ADV minimum commitment: $25M

Reported in Form ADV on Mar 31, 2026. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor ERNST & YOUNG LLP SAN FRANCISCO, California, United States

Custodian BTIG, LLC SAN FRANCISCO, California, United States Related to adviser: No

Custodian CITIBANK, N.A. SIOUX FALLS, South Dakota, United States Related to adviser: No

Custodian EAST WEST BANK SANTA CLARA, California, United States Related to adviser: No

Custodian MAREX CAPITAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No

Custodian PACIFIC STOCK TRANSFER LAS VEGAS, Nevada, United States Related to adviser: No

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Custodian SILICON VALLEY BANK, A DIVISION OF FIRST CITIZENS BANK SANTA CLARA, California, United States Related to adviser: No

Marketer CHINA CONCEPT CONSULTING LTD HONG KONG, Hong Kong Related to adviser: No

Marketer GOLD EAGLE ENTERPRISES LIMITED HONG KONG, Hong Kong Related to adviser: No

Marketer GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Marketer PROBITAS FUNDS GROUP, LLC SAN FRANCISCO, California, United States Related to adviser: No

Marketer XT CAPITAL PARTNERS, LLC NEW YORK, New York, United States Related to adviser: No

Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States

Provider details

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

ERNST & YOUNG LLP
PCAOB 42

BTIG, LLC
SEC 8-65473

MAREX CAPITAL MARKETS INC.
SEC 8-69039

PERSHING LLC
SEC 8-17574

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 801-16048

PROBITAS FUNDS GROUP, LLC
CRD 115876 · SEC 8-53512

XT CAPITAL PARTNERS, LLC
CRD 118719 · SEC 8-53683

PERSHING LLC
CRD 7560 · SEC 8-17574

Filing source

Form ADV 2072948 · Mar 31, 2026 · Schedule D 7.B.(1), fund 805-7315153104

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

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
Albert Cha	Director
Edgar Engleman	Director
Shan Fu	Director
Frank Kung	Director
N/A Vivo Capital Ix, Llc	Promoter
Chen Yu	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

192 Lytton Avenue
Palo Alto, CA, 94301