NOVAQUEST CAPITAL MANAGEMENT, L.L.C.
Adviser information for NOVAQUEST CAPITAL MANAGEMENT, L.L.C. last updated from Form ADV on March 29th, 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 | 26 |
|---|---|
| Investment Advisory/Research | 25 |
| 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 | 40 | $1.8B |
| Non-Discretionary | 0 | $0 |
| Total | 40 | $1.8B |
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 | 40 | $1.8B |
| 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 | 38 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMCARRIED INTEREST |
Identifiers
| SEC RIA File Number | 801-73992 |
|---|---|
| SEC ERA File Number | 801-73992 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 160359 |
| Legal Entity Identifier | 5493000LUNI6LGVHU343 |
Principal Office
4208 SIX FORKS ROADSUITE 920
RALEIGH
NC
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 919-459-8620, Fax: 919-516-0580
Chief Compliance Officer
DEVIN W. HOLDEN
4208 SIX FORKS ROAD, SUITE 920
RALEIGH
NC
United States
Tel:
919-459-8617
Fax:
919-516-0580
D***********@************M
(Full email address available in API data)
Industry Affiliates
| GHO CAPITAL MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| GHO CAPITAL PARTNERS LLP | Other investment adviser, including financial planners |
| NQ AH I GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| NQ AH I GP, LTD. | Sponsor, GP, manager of pooled investment vehicles |
| NQ FUND III AIV I GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| NQ HCIF GENERAL PARTNER, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| NQ HCIF GP, LTD. | Sponsor, GP, manager of pooled investment vehicles |
| NQ POF III GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| NQ POF IV GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| NQ POF IV GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| NQ POF IV GP, LTD. | Sponsor, GP, manager of pooled investment vehicles |
| NQ POF V GP (DELAWARE), LLC | Sponsor, GP, manager of pooled investment vehicles |
| NQ POF V GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| NQ POF V GP, LTD. | Sponsor, GP, manager of pooled investment vehicles |
| NQ POF VI GP, LP | Sponsor, GP, manager of pooled investment vehicles |
| NQ POF VI GP, LTD. | Sponsor, GP, manager of pooled investment vehicles |
| NQP SPV I GP, LTD | Sponsor, GP, manager of pooled investment vehicles |
| QHP CAPITAL, L.P. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| NOVAQUEST ANIMAL HEALTH OPPORTUNITIES FUND (DELAWARE), L.P. | Private Equity Fund | $117.4M | $5.0M | 1 |
| NOVAQUEST ANIMAL HEALTH OPPORTUNITIES FUND AGGREGATOR, L.P. | Private Equity Fund | $131.7M | $5.0M | 2 |
| NOVAQUEST ANIMAL HEALTH OPPORTUNITIES FUND, L.P. | Private Equity Fund | $8.6M | $5.0M | 1 |
| NOVAQUEST CO-INVESTMENT - RISP, L.P. | Private Equity Fund | $17.8M | $25.0M | 37 |
| NOVAQUEST CO-INVESTMENT - TAK, L.P. | Private Equity Fund | $0.0M | $10.0M | 15 |
| NOVAQUEST CO-INVESTMENT FUND I (PARENT), L.P. | Private Equity Fund | $0.7M | $10.0M | 15 |
| NOVAQUEST CO-INVESTMENT FUND IX, L.P. | Private Equity Fund | $66.7M | $25.0M | 20 |
| NOVAQUEST CO-INVESTMENT FUND VI, L.P. | Private Equity Fund | $31.2M | $10.0M | 37 |
| NOVAQUEST CO-INVESTMENT FUND VII, L.P. | Private Equity Fund | $51.9M | $25.0M | 51 |
| NOVAQUEST CO-INVESTMENT FUND VIII, L.P. | Private Equity Fund | $227.5M | $25.0M | 51 |
| NOVAQUEST CO-INVESTMENT FUND X L.P. | Private Equity Fund | $4.9M | $25.0M | 20 |
| NOVAQUEST CO-INVESTMENT FUND XI, L.P. | Private Equity Fund | $30.5M | $25.0M | 20 |
| NOVAQUEST CO-INVESTMENT FUND XIII, L.P. | Private Equity Fund | $24.2M | $20.0M | 20 |
| NOVAQUEST CO-INVESTMENT FUND XV, L.P. | Private Equity Fund | $15.1M | $25.0M | 20 |
| NOVAQUEST CO-INVESTMENT FUND XVI, L.P. | Private Equity Fund | $72.8M | $25.0M | 20 |
| NOVAQUEST CO-INVESTMENT FUND XVII, L.P. | Private Equity Fund | $50.6M | $25.0M | 51 |
| NOVAQUEST CO-INVESTMENT FUND XVIII, L.P. | Private Equity Fund | $54.1M | $25.0M | 20 |
| NOVAQUEST PHARMA OPPORTUNITIES FUND III AGGREGATOR, L.P. | Private Equity Fund | $31.7M | $10.0M | 1 |
| NOVAQUEST PHARMA OPPORTUNITIES FUND III, L.P. | Private Equity Fund | $48.1M | $10.0M | 14 |
| NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST-A), L.P. | Private Equity Fund | $2.6M | $25.0M | 2 |
| NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST-A), L.P. | Private Equity Fund | $26.6M | $25.0M | 2 |
| NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST), L.P. | Private Equity Fund | $67.2M | $25.0M | 1 |
| NOVAQUEST PHARMA OPPORTUNITIES FUND IV (PARALLEL), L.P. | Private Equity Fund | $23.7M | $25.0M | 1 |
| NOVAQUEST PHARMA OPPORTUNITIES FUND IV AGGREGATOR, L.P. | Private Equity Fund | $117.8M | $25.0M | 2 |
| NOVAQUEST PHARMA OPPORTUNITIES FUND IV, L.P. | Private Equity Fund | $180.6M | $25.0M | 36 |
| NOVAQUEST PHARMA OPPORTUNITIES FUND V (DELAWARE), L.P. | Private Equity Fund | $380.3M | $25.0M | 6 |
| NOVAQUEST PHARMA OPPORTUNITIES FUND V, L.P. | Private Equity Fund | $655.8M | $25.0M | 18 |
| NOVAQUEST PHARMA OPPORTUNITIES FUND VI, L.P. | Private Equity Fund | $88.1M | $10.0M | 2 |
| NQ AH PROJECT ARLINGTON II, L.P. | Private Equity Fund | $18.6M | $5.0M | 2 |
| NQ COVE AGGREGATOR, L.P. | Private Equity Fund | $46.6M | $0.0M | 2 |
| NQ PROJECT BRIDGETON, L.P. | Private Equity Fund | $85.6M | $25.0M | 20 |
| NQ PROJECT GLASGOW, LTD. | Private Equity Fund | $83.9M | $25.0M | 20 |
| NQ PROJECT LOCKPORT, L.P. | Private Equity Fund | $11.8M | $10.0M | 20 |
| NQ PROJECT PHARAOH, L.P. | Private Equity Fund | $130.1M | $25.0M | 20 |
| NQ PROJECT PHOEBUS, L.P. | Private Equity Fund | $53.2M | $25.0M | 20 |
| NQ PROJECT SAMPSON, L.P. | Private Equity Fund | $40.9M | $25.0M | 51 |
| NQP AIV I, L.P. | Private Equity Fund | $87.8M | $25.0M | 6 |
| NQP SPV I, L.P. | Private Equity Fund | $63.1M | $25.0M | 51 |
| NQP SPV II, L.P. | Private Equity Fund | $95.0M | $25.0M | 20 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| TUNNICLIFFE, JONATHAN, EDWARD | Individual | – | MEMBER, MANAGING PARTNER | 11/2010 | 5-10% |
| PHARMABIO DEVELOPMENT INC. | Domestic Entity | – | MEMBER | 11/2010 | 50-75% |
| MBK PHARMAPARTNERING, INC. | Domestic Entity | – | MEMBER | 11/2010 | 10-25% |
| HESTER, ROBERT, WAYNE | Individual | – | MEMBER, CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT | 11/2010 | < 5% |
| GILLINGS, DENNIS, BARRY | Individual | GF MANAGEMENT HOLDINGS INC. | SHAREHOLDER | 01/2022 | > 75% |
| MITSUI & CO., LTD. | Foreign Entity | MBK PHARMAPARTNERING, INC. | SHAREHOLDER | 11/2010 | > 75% |
| BROWN, ERNEST, GERALD | Individual | – | MANAGEMENT COMMITTEE MEMBER | 11/2010 | < 5% |
| Mills, Bryan, Edwards | Individual | – | MEMBER, CHIEF ADMINISTRATIVE OFFICER | 01/2020 | < 5% |
| Tanaka, Hidekazu | Individual | – | MANAGEMENT COMMITTEE MEMBER | 04/2021 | < 5% |
| JORDAN, PATRICK, BROOKS | Individual | – | MEMBER, MANAGING PARTNER, CHIEF OPERATING OFFICER, MANAGEMENT COMMITTEE MEMBER | 04/2021 | < 5% |
| GF MANAGEMENT HOLDINGS INC. | Domestic Entity | PHARMABIO DEVELOPMENT INC. | SHAREHOLDER | 01/2022 | > 75% |
| Gillings, Mireille | Individual | GF MANAGEMENT HOLDINGS INC. | SHAREHOLDER | 01/2022 | 25-50% |
| BOLOGNA, MICHAEL, JAMES | Individual | – | MEMBER, CHIEF INVESTMENT OFFICER | 07/2023 | < 5% |
| HOLDEN, DEVIN, WEISS | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2024 | < 5% |