DAFNA CAPITAL MANAGEMENT, LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	8
Investment Advisory/Research	7
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	4	$647.9M
Non-Discretionary	0	$0
Total	4	$647.9M

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	4	$647.9M
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	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	25

Services

Advisory Services	Portfolio management for pooled investment vehicles
Compensation	% of AUMPerformance-based fees

Identifiers

SEC RIA File Number	801-62559
SEC ERA File Number	801-62559
SEC CIK Numbers	1389933
SEC CRD Numbers	129053
Legal Entity Identifier	254900W3EEPXDZYS3V12

Principal Office

10990 WILSHIRE BOULEVARD
SUITE 1400
LOS ANGELES
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic