Hedge Fund Database

SOFINNOVA INVESTMENTS, INC.

Adviser information for SOFINNOVA INVESTMENTS, INC. last updated from Form ADV on March 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location California, United States

Employees

Total Number of Employees 35
Investment Advisory/Research 16
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 17 $4.3B
Non-Discretionary 0 $0
Total 17 $4.3B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 10 $2.7B
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 7 $1.6B
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 53

Services

Advisory Services Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation % of AUMPerformance-based feesPERCENT OF CAPITAL COMMITMENTS

Identifiers

SEC RIA File Number 801-110134
SEC ERA File Number 801-110134
SEC CIK Numbers 1631134
SEC CRD Numbers 160297
Legal Entity Identifier 549300HVTF5RFS1C0D72

Principal Office

3000 SAND HILL ROAD
4-250
MENLO PARK
CA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 650-681-8420, Fax: 650-322-2037

Websites

www.sofinnova.com/ en.wikipedia.org/wiki/sofinnova www.linkedin.com/company/sofinnova-ventures/

Chief Compliance Officer

JAMES DENNIS BRODY
CHIEF OPERATIONS OFFICER, PUBLIC EQUITY
3000 SAND HILL ROAD
BUILDING 4-SUITE 250
MENLO PARK
CA
United States
Tel: 650-681-8482
Fax: 650-322-2037
(Full email address available in API data)

Regulatory Contact

HOOMAN SHAHLAVI
CHIEF LEGAL OFFICER
3000 SAND HILL ROAD
4-250
MENLO PARK
CA
United States
Tel: 650-681-8430
Fax: 650-322-2037
(Full email address available in API data)

Industry Affiliates

SOFINNOVA BIOEQUITIES GP L.L.C. Sponsor, GP, manager of pooled investment vehicles
SOFINNOVA MANAGEMENT IX, L.L.C Sponsor, GP, manager of pooled investment vehicles
SOFINNOVA MANAGEMENT VIII, L.L.C. Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
SOFINNOVA MANAGEMENT X-A, L.L.C. Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
SOFINNOVA MANAGEMENT X, L.P. Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
SOFINNOVA MANAGEMENT XI, L.L.C. Sponsor, GP, manager of pooled investment vehicles
SOFINNOVA MANAGEMENT XI, L.P. Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
SOFINNOVA SYNERGY FUND GP, L.L.C. Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
SOFINNOVA BIOEQUITIES ENHANCED MASTER FUND, LP Hedge Fund $765.8M $3.0M 18
SOFINNOVA BIOEQUITIES MASTER FUND, LTD. Hedge Fund $203.6M $3.0M 50
SOFINNOVA SYNERGY MASTER FUND, LP Hedge Fund $5.1M $0.5M 13
SOFINNOVA VENTURE PARTNERS IX, L.P. Venture Capital Fund $289.1M $0.5M 52
SOFINNOVA VENTURE PARTNERS VIII, L.P. Venture Capital Fund $7.7M $0.5M 41
SOFINNOVA VENTURE PARTNERS X, L.P. Venture Capital Fund $803.4M $0.5M 59
SOFINNOVA VENTURE PARTNERS XI, L.P. Venture Capital Fund $236.2M $0.5M 51

Control Persons

Name Type Entity Title Since Ownership
AZAN, ALAIN, LOUIS Individual – SHAREHOLDER 06/1997 5-10%
HEALY, JAMES, IRVIN Individual – SHAREHOLDER, DIRECTOR 06/2000 50-75%
AUBER, NATHALIE, MARIE Individual – SHAREHOLDER, DIRECTOR AND CHIEF FINANCIAL OFFICER 01/1998 5-10%
SHAHLAVI, HOOMAN, NO MIDDLE NAME Individual – SHAREHOLDER, SECRETARY AND CHIEF LEGAL OFFICER 02/2007 5-10%
BRODY, JAMES, DENNIS Individual – CHIEF COMPLIANCE OFFICER 10/2016 < 5%
KATABI, MAHA, MEHDI Individual – SHAREHOLDER, DIRECTOR AND VICE PRESIDENT 04/2019 10-25%
EKMAN, LARS, GOSTA Individual – BOARD OF DIRECTORS MEMBER, EXECUTIVE PARTNER 09/2016 < 5%
DELBRIDGE, ERIC, HELMUT Individual – DIRECTOR 05/2016 < 5%

No. Employees, Historic

4020020202021202220232024202528 on 2/11/202031 on 3/30/202031 on 2/19/202132 on 3/31/202132 on 6/23/202131 on 3/30/202231 on 9/6/202231 on 9/9/202231 on 11/2/202234 on 3/29/202334 on 7/27/202335 on 3/15/2024

RAUM, Historic

5B3B02020202120222023202420252081556337 on 2/11/20202761270470 on 3/30/20202761270470 on 2/19/20213270299332 on 3/31/20213270299332 on 6/23/20213898285640 on 3/30/20223898285640 on 9/6/20223898285640 on 9/9/20223898285640 on 11/2/20223710990770 on 3/29/20233710990770 on 7/27/20234339391355 on 3/15/2024

No. Clients, Historic

201002020202120222023202420259 on 2/11/20209 on 3/30/20209 on 2/19/20219 on 3/31/20219 on 6/23/202112 on 3/30/202212 on 9/6/202212 on 9/9/202212 on 11/2/202216 on 3/29/202316 on 7/27/202317 on 3/15/2024

Holdings

From latest 13F, filed August 15th, 2024 for period ending December 31st, 2023
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