TOP TIER CAPITAL PARTNERS, LLC
Adviser information for TOP TIER CAPITAL PARTNERS, LLC last updated from Form ADV on March 28th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 48 |
|---|---|
| Investment Advisory/Research | 23 |
| 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 | 33 | $6.6B |
| Non-Discretionary | 7 | $532.9M |
| Total | 40 | $7.2B |
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 | 39 | $7.2B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $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 | 3 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based feesREIMBURSEMENT OF COSTS |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-68178 |
|---|---|
| SEC ERA File Number | 801-68178 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 144546 |
| Legal Entity Identifier | None |
Principal Office
600 MONTGOMERY ST.SUITE 480
SAN FRANCISCO
CA
United States
Monday - Friday, 8:00A TO 5:00P
Tel: 415-835-7500, Fax: 415-835-7501
Chief Compliance Officer
BRIAN C. DILLON
600 MONTGOMERY STREET
SUITE 480
SAN FRANCISCO
CA
United States
Tel:
415-835-7500
Fax:
415-835-7501
B******@*******M
(Full email address available in API data)
Regulatory Contact
BRENDAN BAKER
HEAD OF LEGAL & COMPLIANCE
600 MONTGOMERY STREET
SUITE 480
SAN FRANCISCO
CA
United States
Tel:
415-835-7500
B*****@*******M
(Full email address available in API data)
Industry Affiliates
| SVO GP, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Sponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Sponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Sponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOP TIER CAPITAL PARTNERS (UK) LIMITED | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BVK VENTURE 2014, L.P. -- ALPHA SERIES | Private Equity Fund | $189.4M | $10.0M | 1 |
| BVK VENTURE 2019, L.P. - ALPHA SERIES | Private Equity Fund | $85.7M | $10.0M | 1 |
| BVK VENTURE 2021, L.P. - ALPHA SERIES | Private Equity Fund | $59.0M | $10.0M | 1 |
| TOP TIER ALPHA 2, L.P. | Private Equity Fund | $98.2M | $10.0M | 4 |
| TOP TIER CLIMATE TECHNOLOGY FUND, L.P. | Private Equity Fund | $150.9M | $10.0M | 1 |
| TOP TIER CT VENTURE PARTNERS LP | Private Equity Fund | $302.3M | $10.0M | 1 |
| TOP TIER EUROPEAN VENTURE CAPITAL FUND SCSP | Private Equity Fund | $214.7M | $5.0M | 14 |
| TOP TIER RAG-S INNOVATION FUND, L.P. - SERIES 3 | Private Equity Fund | $10.9M | $10.0M | 0 |
| TOP TIER SPECIAL OPPORTUNITIES FUND, L.P. | Private Equity Fund | $2.7M | $5.0M | 7 |
| TOP TIER STRATEGIC INVESTMENT FUND, L.P. | Private Equity Fund | $171.3M | $10.0M | 2 |
| TOP TIER VENTURE CAPITAL IV, L.P. | Private Equity Fund | $110.8M | $10.0M | 19 |
| TOP TIER VENTURE CAPITAL IX-B, L.P. | Private Equity Fund | $155.6M | $10.0M | 1 |
| TOP TIER VENTURE CAPITAL IX-C, L.P. | Private Equity Fund | $10.3M | $10.0M | 2 |
| TOP TIER VENTURE CAPITAL IX, L.P. | Private Equity Fund | $442.3M | $10.0M | 31 |
| TOP TIER VENTURE CAPITAL V-B, L.P. | Private Equity Fund | $226.5M | $10.0M | 1 |
| TOP TIER VENTURE CAPITAL V, L.P. | Private Equity Fund | $180.0M | $10.0M | 8 |
| TOP TIER VENTURE CAPITAL VI-B, L.P. | Private Equity Fund | $229.4M | $10.0M | 1 |
| TOP TIER VENTURE CAPITAL VI, L.P. | Private Equity Fund | $277.3M | $10.0M | 7 |
| TOP TIER VENTURE CAPITAL VII-B, L.P. | Private Equity Fund | $383.3M | $10.0M | 1 |
| TOP TIER VENTURE CAPITAL VII, L.P. | Private Equity Fund | $663.5M | $10.0M | 7 |
| TOP TIER VENTURE CAPITAL VIII-B, L.P. | Private Equity Fund | $301.5M | $10.0M | 1 |
| TOP TIER VENTURE CAPITAL VIII, L.P. | Private Equity Fund | $569.1M | $10.0M | 15 |
| TOP TIER VENTURE CAPITAL X, L.P. | Private Equity Fund | $558.1M | $10.0M | 71 |
| TOP TIER VENTURE VELOCITY FUND 2, L.P. | Private Equity Fund | $345.5M | $5.0M | 21 |
| TOP TIER VENTURE VELOCITY FUND 3-B, L.P. | Private Equity Fund | $8.2M | $5.0M | 1 |
| TOP TIER VENTURE VELOCITY FUND 3, LP | Private Equity Fund | $237.6M | $5.0M | 22 |
| TOP TIER VENTURE VELOCITY FUND 4, L.P. | Private Equity Fund | $516.9M | $5.0M | 75 |
| TOP TIER VENTURE VELOCITY FUND, L.P. | Private Equity Fund | $134.2M | $5.0M | 11 |
| TOP TIER VENTURE VELOCITY GROWTH FUND, L.P. | Private Equity Fund | $88.3M | $10.0M | 4 |
| TOP TIER VENTURE VELOCITY PRIME LP | Private Equity Fund | $44.9M | $2.0M | 5 |
| TOP TIER VENTURE VELOCITY Q, LLC | Private Equity Fund | $0.5M | $0.8M | 3 |
| TTBSP, L.P. - OPPORTUNITY II SERIES | Private Equity Fund | $41.8M | $10.0M | 1 |
| TTBSP, L.P. - OPPORTUNITY SERIES | Private Equity Fund | $55.8M | $10.0M | 1 |
| TTCP CO-INVEST FUND X, L.P. | Private Equity Fund | $50.2M | $10.0M | 1 |
| TTCP CO-INVEST OVERAGE FUND IX, L.P. | Private Equity Fund | $49.7M | $10.0M | 1 |
| TTCP NHCO INNOVATION, L.P. | Private Equity Fund | $78.0M | $10.0M | 1 |
| TTCP NMERB SMA GROWTH, L.P. | Private Equity Fund | $49.9M | $10.0M | 1 |
| TTCP NMERB SMA II, L.P. | Private Equity Fund | $92.6M | $10.0M | 1 |
| TTCP NMERB SMA, L.P | Private Equity Fund | $150.6M | $10.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| YORK, DAVID, ARTHUR | Individual | – | DIRECTOR, EXECUTIVE OFFICER AND MEMBER (COMMON CLASS) | 04/2011 | 10-25% |
| EDGAR, LISA, MARIE | Individual | – | MEMBER (COMMON CLASS) | 04/2011 | 5-10% |
| EU, ROBERT, JAMES | Individual | – | DIRECTOR | 04/2011 | < 5% |
| SHEA VENTURES OPPORTUNITY FUND B, LLC | Domestic Entity | – | MEMBER (PREFERRED CLASS) | 04/2011 | > 75% |
| HAMBRECHT EU VISTA, LLC | Domestic Entity | – | MEMBER (PREFERRED CLASS) | 04/2011 | 10-25% |
| HAMBRECHT, ELIZABETH, BOYER | Individual | HAMBRECHT EU VISTA, LLC | MANAGER | 01/2011 | |
| WARREN, SEAN, CHARLES | Individual | HAMBRECHT EU VISTA, LLC | MANAGER | 01/2011 | |
| SHEA VENTURES OPPORTUNITY FUND, LP | Domestic Entity | SHEA VENTURES OPPORTUNITY FUND B, LLC | MEMBER | 03/2010 | > 75% |
| WARREN, SEAN, CHARLES | Individual | HAMBRECHT EU VISTA LLC VIA WARREN REV. TRUST 5/22/02 | MEMBER | 01/2011 | 25-50% |
| EU, ROBERT, JAMES | Individual | HAMBRECHT EU VISTA LLC VIA EU REV TRUST 6/26/99 | MEMBER | 01/2011 | 25-50% |
| HAMBRECHT, ELIZABETH, BOYER | Individual | HAMBRECHT EU VISTA LLC VIA EU REV TRUST 6/26/99 | MEMBER | 01/2011 | 25-50% |
| SVO GP, LP | Domestic Entity | SHEA VENTURES OPPORTUNITY FUND, LP | MANAGING MEMBER | 03/2010 | > 75% |
| SVO GP, LLC | Domestic Entity | SVO GP, LP | GENERAL PARTNER | 03/2010 | > 75% |
| SHEA VENTURES, LLC | Domestic Entity | SVO GP, LLC | MEMBER | 03/2010 | 25-50% |
| DUNLAP, KEVIN, ERIC | Individual | SVO GP, LLC | MANAGING MEMBER | 03/2010 | |
| SCHOETTLER, JASON, MICHAEL | Individual | SVO GP, LLC | MANAGING MEMBER | 03/2010 | |
| MORRISSEY, JOHN, CARROLL | Individual | SHEA VENTURES LLC | MANAGING DIRECTOR | 02/2004 | |
| SHEA DIVERSIFIED INVESTMENTS, INC. | Domestic Entity | SHEA VENTURES LLC | SHAREHOLDER | 05/2001 | 25-50% |
| SHEA, MARY, SHEA | Individual | SURVIVOR'S TRUST U/A EIGHTH - E&M SHEA REVOCABLE TRUST | TRUSTEE | 07/2012 | |
| MORRISSEY, JOHN, CARROLL | Individual | SURVIVOR'S TRUST U/A EIGHTH - E&M SHEA REVOCABLE TRUST | SUCCESSOR TRUSTEE | 07/2012 | |
| WARREN, ANNE, EU | Individual | HAMBRECHT EU VISTA LLC VIA WARREN REV TRUST 5/22/02 | MEMBER | 01/2011 | 25-50% |
| WARREN, SEAN, CHARLES | Individual | – | MEMBER (COMMON CLASS) | 09/2011 | < 5% |
| SHEA, JOHN, FRANCIS | Individual | SHEA DIVERSIFIED INVESTMENTS INC VIA JOHN F SHEA FAMILY TRUST | SHAREHOLDER/TRUSTEE | 11/1986 | 25-50% |
| SHEA, DOROTHY, BABBITT | Individual | SHEA DIVERSIFIED INVESTMENTS INC VIA JOHN F. SHEA FAMILY TRUST | SHAREHOLDER/TRUSTEE | 11/1986 | 25-50% |
| SHEA, PETER, OWEN | Individual | SHEA DIVERSIFIED INVESTMENTS INC VIA PETER & CAROLYN SHEA REV TRUST | SHAREHOLDER/TRUSTEE | 01/1995 | 25-50% |
| SHEA, CAROLYN, HAND | Individual | SHEA DIVERSIFIED INVESTMENTS INC VIA PETER & CAROLYN SHEA REV TRUST | SHAREHOLDER/TRUSTEE | 01/1995 | 25-50% |
| SURVIVOR'S TRUST U/A EIGHTH - E&M SHEA REVOCABLE TRUST | Domestic Entity | SHEA DIVERSIFIED INVESTMENTS, INC. | SHAREHOLDER | 07/2012 | 25-50% |
| ARCHIBALD, JESSICA, LEE | Individual | – | DIRECTOR, EXECUTIVE OFFICER AND MEMBER (COMMON CLASS) | 01/2014 | 10-25% |
| DUNLAP, KEVIN, ERIC | Individual | – | DIRECTOR | 05/2014 | < 5% |
| TIMOLL, GARTH, ANDREW | Individual | – | DIRECTOR, EXECUTIVE OFFICER AND MEMBER (COMMON CLASS) | 05/2020 | 10-25% |
| DONOVAN, DENIS, PATRICK | Individual | – | DIRECTOR | 05/2017 | < 5% |
| Tao, Ruth, Winona | Individual | HAMBRECHT EU VISTA, LLC | MEMBER | 01/2014 | 25-50% |
| FITZGERALD, ERIC, TIMOTHY | Individual | – | EXECUTIVE OFFICER AND MEMBER (COMMON CLASS) | 10/2019 | 10-25% |
| BHATTACHARYA, PROMIT, (NMN) | Individual | – | CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | 06/2020 | < 5% |
| ENGEL, SEAN, MICHAEL | Individual | – | EXECUTIVE OFFICER AND MEMBER (COMMON CLASS) | 01/2021 | 10-25% |
| DILLON, BRIAN, CHRISTOPHER | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2022 | < 5% |
| Baker, Brendan, Danford | Individual | – | HEAD OF LEGAL AND COMPLIANCE | 01/2023 | < 5% |