CAPRICORN INVESTMENT GROUP LLC

Adviser information for CAPRICORN INVESTMENT GROUP 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	32
Investment Advisory/Research	12
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	32	$5.9B
Non-Discretionary	1	$3.5B
Total	33	$9.4B

Clients

Type	Number	RAUM
Individuals	0	$0
HNW Individuals	6	$3.6B
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	25	$4.5B
Pension and profit sharing plans	0	$0
Charitable organizations	<5	$1.2B
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	27

Services

Advisory Services	Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers)
Compensation	% of AUMPerformance-based fees

Identifiers

SEC RIA File Number	801-69602
SEC ERA File Number	801-69602
SEC CIK Numbers	1536261
SEC CRD Numbers	147417
Legal Entity Identifier	549300BUCNJ6WDER2U72

Principal Office

250 UNIVERSITY AVENUE
SUITE 300
PALO ALTO
CA
United States

Monday - Friday, 9 AM - 5 PM

Tel: 650-331-8800, Fax: 650-331-8802

Websites

www.capricornllc.com www.linkedin.com/company/capricorn-investment-group

Chief Compliance Officer

ERIC TECHEL

CHIEF FINANCIAL OFFICER

250 UNIVERSITY AVENUE

SUITE 300

PALO ALTO

United States

Tel: (650) 331-8800

Fax: (650) 331-8802

E******@***************M

(Full email address available in API data)

Industry Affiliates

CAPRICORN ADVISERS, LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
CAPRICORN MANAGEMENT, LLC	Other investment adviser, including financial planners
CAPRICORN-LIBRA PARTNERS, LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
SIF PARTNERS, LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
SUSTAINABLE INVESTORS FUND GP S.� R.L.	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
TIF PARTNERS II LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
TIF PARTNERS, LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
TIGF PARTNERS II, LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
TIGF PARTNERS, LLC	Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles

Private Funds

Name	Type	Assets $USD	Min Investment $USD	No. Owners
CAPRICORN-LIBRA INVESTMENT GROUP, LP	Venture Capital Fund	$404.7M	$1.0M	8
CIG DIRECT STRATEGIES II, LLC - SERIES 1	Venture Capital Fund	$253.5M	$1.0M	2
CIG DIRECT STRATEGIES III LLC - SERIES 4	Venture Capital Fund	$34.7M	$1.0M	3
CIG DIRECT STRATEGIES III, LLC - SERIES 1	Venture Capital Fund	$359.3M	$1.0M	11
CIG DIRECT STRATEGIES III, LLC - SERIES 2	Venture Capital Fund	$125.7M	$1.0M	7
CIG DIRECT STRATEGIES III, LLC - SERIES 3	Venture Capital Fund	$159.4M	$1.0M	7
CIG DIRECT STRATEGIES SX, LP	Venture Capital Fund	$126.3M	$1.0M	6
CIG LOW CARBON BASKET, LLC	Venture Capital Fund	$218.8M	$1.0M	3
SUSTAINABLE INVESTORS FUND, LP	PUBLIC AND PRIVATE FUND OF FUNDS	$394.2M	$1.0M	25
TECHNOLOGY IMPACT FUND II, LP	Venture Capital Fund	$539.7M	$1.0M	79
TECHNOLOGY IMPACT FUND, LP	Venture Capital Fund	$983.7M	$1.0M	47
TECHNOLOGY IMPACT GROWTH FUND II, LP	Private Equity Fund	$663.3M	$1.0M	66
TECHNOLOGY IMPACT GROWTH FUND, LP	Private Equity Fund	$94.6M	$1.0M	10
TIGF DIRECT STRATEGIES II, LLC - SERIES 2	Private Equity Fund	$11.4M	$1.0M	9
TIGF DIRECT STRATEGIES II, LLC - SERIES 3	Private Equity Fund	$30.6M	$1.0M	41
TIGF DIRECT STRATEGIES II, LLC - SERIES I	Private Equity Fund	$78.5M	$1.0M	7
TIGF DIRECT STRATEGIES, LLC - SERIES 1	Private Equity Fund	$13.2M	$1.0M	5
TIGF DIRECT STRATEGIES, LLC - SERIES 2	Private Equity Fund	$2.3M	$1.0M	13
TIGF DIRECT STRATEGIES, LLC - SERIES 4	Private Equity Fund	$37.0M	$1.0M	3
TIGF DIRECT STRATEGIES, LLC - SERIES 5	Private Equity Fund	$0.7M	$1.0M	10

Control Persons

Name	Type	Entity	Title	Since	Ownership
JEFFREY S. SKOLL REVOCABLE TRUST	Domestic Entity	PINE LLC	SOLE MEMBER	09/2007	> 75%
PINE LLC	Domestic Entity	–	MEMBER	04/2007	50-75%
YADIGAROGLU, ION	Individual	–	MEMBER/MANAGING PRINCIPAL	04/2007	10-25%
SKOLL, JEFFREY, STUART	Individual	JEFFREY S. SKOLL REVOCABLE TRUST	SETTLOR AND TRUSTEE	08/1999	> 75%
ORUM, WILLIAM, BERNARD	Individual	–	MEMBER	01/2012	10-25%
TECHEL, ERIC, JOHN	Individual	–	MEMBER / CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER	01/2013	5-10%
SALUJA, DIPENDER, (NMN)	Individual	–	MEMBER	01/2013	< 5%

No. Employees, Historic

RAUM, Historic

No. Clients, Historic

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024

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