ADVANCED TECHNOLOGY VENTURES

ATV CAPITAL MANAGEMENT, INC. Legal Name

Adviser information for ADVANCED TECHNOLOGY VENTURES 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	Corporation
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	0
Investment Advisory/Research	0
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	No

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	0	$0
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	0

Services

Advisory Services	–
Compensation	–

Identifiers

SEC RIA File Number	802-75329
SEC ERA File Number	802-75329
SEC CIK Numbers	None
SEC CRD Numbers	162341
Legal Entity Identifier	None

Principal Office

500 BOYLSTON STREET
SUITE 1380
BOSTON
MA
United States

Monday - Friday, 8AM - 5PM

Tel: 617-850-9700, Fax: 617-850-9750

Websites

dynamo.netagesolutions.com/site/login.aspx www.atvcapital.com

Chief Compliance Officer

None

Industry Affiliates

ATV ASSOCIATES VII, LLC	Sponsor, GP, manager of pooled investment vehicles
ATV ASSOCIATES VIII, LLC	Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name	Type	Assets $USD	Min Investment $USD	No. Owners
ADVANCED TECHNOLOGY VENTURES VII (B), L.P.	Venture Capital Fund	$0.6M	$1.0M	2
ADVANCED TECHNOLOGY VENTURES VII (C), L.P.	Venture Capital Fund	$0.3M	$1.0M	5
ADVANCED TECHNOLOGY VENTURES VII, L.P.	Venture Capital Fund	$22.8M	$0.1M	96
ADVANCED TECHNOLOGY VENTURES VIII, L.P.	Venture Capital Fund	$38.9M	$0.1M	37
ATV ENTREPRENEURS VII, L.P.	Venture Capital Fund	$0.6M	$0.0M	64

Control Persons

Name	Type	Entity	Title	Since	Ownership
CARUSI, MICHAEL, A.	Individual	–	PRESIDENT, DIRECTOR OF ATV CAPITAL MANAGEMENT	09/2003	10-25%
WIBERG, WILLIAM, C.	Individual	–	VICE PRESIDENT, TREASURER & SECRETARY, DIRECTOR OF ATV CAPITAL MANAGEMENT	01/2006	10-25%
GEORGE, JEAN, M.	Individual	–	DIRECTOR OF ATV CAPITAL MANAGEMENT	06/2004	10-25%
BALOFF, STEVEN, NICHOLAS	Individual	–	DIRECTOR OF ATV CAPITAL MANAGEMENT	09/1998	10-25%
HOWER, ROBERT, C.	Individual	–	DIRECTOR OF ATV CAPITAL MANAGEMENT	01/2006	10-25%
CARUSI, MICHAEL, A.	Individual	–	MANAGING DIRECTOR OF ATV ASSOCIATES VII, LLC	02/2001	< 5%
CARUSI, MICHAEL, A.	Individual	–	MANAGING DIRECTOR OF ATV ASSOCIATES VIII, LLC	07/2007	< 5%
WIBERG, WILLIAM, C.	Individual	–	MANAGING DIRECTOR OF ATV ASSOCIATES VII, LLC	08/2003	5-10%
WIBERG, WILLIAM, C.	Individual	–	MANAGING DIRECTOR OF ATV ASSOCIATES VIII, LLC	07/2007	10-25%
GEORGE, JEAN, M.	Individual	–	MANAGING DIRECTOR OF ATV ASSOCIATES VII, LLC	02/2002	5-10%
GEORGE, JEAN, M.	Individual	–	MANAGING DIRECTOR OF ATV ASSOCIATES VIII, LLC	07/2007	10-25%
BALOFF, STEVEN, NICHOLAS	Individual	–	MANAGING DIRECTOR OF ATV ASSOCIATES VII, LLC	02/2001	< 5%
BALOFF, STEVEN, NICHOLAS	Individual	–	MANAGING DIRECTOR OF ATV ASSOCIATES VIII, LLC	07/2007	10-25%
HOWER, ROBERT, C.	Individual	–	MANAGING DIRECTOR OF ATV ASSOCIATES VII, LLC	03/2002	5-10%
HOWER, ROBERT, C.	Individual	–	MANAGING DIRECTOR OF ATV ASSOCIATES VIII, LLC	07/2007	10-25%
CARUSI, MICHAEL, A.	Individual	THE CARUSI FAMILY TRUST DATED JULY 19, 2016	TRUSTEE OF THE CARUSI FAMILY TRUST DATED JULY 19, 2016	07/2016
Carusi, Mary, Catherine	Individual	THE CARUSI FAMILY TRUST DATED JULY 19, 2016	TRUSTEE OF THE CARUSI FAMILY TRUST DATED JULY 19, 2016	07/2016
MICHAEL A. CARUSI AND MARY C. CARUSI, AS TRUSTEES OF THE CARUSI FAMILY TRUST DATED JULY 19, 2016	Domestic Entity	–	MEMBER OF ATV ASSOCIATES VII, LLC	07/2016	10-25%
BALOFF, DEBORAH, D	Individual	THE STEVEN N. AND DEBORAH D. BALOFF TRUST DATED MAY 13, 1998	TRUSTEE OF THE STEVEN N. AND DEBORAH D. BALOFF TRUST DATED MAY 13, 1998	05/1998
MICHAEL A. CARUSI AND MARY C. CARUSI, AS TRUSTEES OF THE CARUSI FAMILY TRUST DATED JULY 19, 2016	Domestic Entity	–	MEMBER OF ATV ASSOCIATES VIII, LLC	07/2016	10-25%
STEVEN N. BALOFF AND DEBORAH D. BALOFF TRUSTEES, STEVEN N. AND DEBORAH D. BALOFF TRUST DATED MAY 13, 1998	Domestic Entity	–	MEMBER OF ATV ASSOCIATES VII, LLC	02/2001	10-25%
BALOFF, STEVEN, NICHOLAS	Individual	STEVEN N. AND DEBORAH D. BALOFF TRUST DATED MAY 13, 1998	TRUSTEE OF THE STEVEN N. AND DEBORAH D. BALOFF TRUST DATED MAY 13, 1998	05/1998
HENKENS FAMILY SURVIVORS TRUST U/A DATED JUNE 1, 1999	Domestic Entity	–	MEMBER OF ATV ASSOCIATES VII, LLC	10/2004	5-10%
WESLEY RAFFEL AND ELIZABETH D. RAFFEL, AS TRUSTEES OF THE RAFFEL REVOCABLE LIVING TRUST DATED NOVEMBER 7, 1995	Domestic Entity	–	MEMBER OF ATV ASSOCIATES VII, LLC	02/2001	10-25%
JOHN R. HARRINGTON AND DIANE I. HARRINGTON, AS TRUSTEES OF THE JOHN R. AND DIANE I. HARRINGTON TRUST U/A DATED MAY 14, 1993	Domestic Entity	–	MEMBER OF ATV ASSOCIATES VII, LLC	02/2001	5-10%
HARRINGTON, JOHN, RICHARD	Individual	JOHN R. HARRINGTON AND DIANE I. HARRINGTON, AS TRUSTEES OF THE JOHN R. AND DIANE I. HARRINGTON TRUST U/A DATED MAY 14, 1993	TRUSTEE OF THE JOHN R. AND DIANE I. HARRINGTON TRUST U/A DATED MAY 14, 1993	05/1993
RAFFEL, WESLEY	Individual	THE RAFFEL REVOCABLE LIVING TRUST DATED NOVEMBER 7, 1995	TRUSTEE OF THE RAFFEL REVOCABLE LIVING TRUST DATED NOVEMBER 7, 1995	11/1995
HENKENS, KATHRYN	Individual	HENKENS FAMILY SURVIVORS TRUST U/A DATED JUNE 1, 1999	TRUSTEE OF THE HENKENS FAMILY SURVIVORS TRUST U/A DATED JUNE 1, 1999	06/1999
HARRINGTON, DIANE, I.	Individual	JOHN R. HARRINGTON AND DIANE I. HARRINGTON, AS TRUSTEES OF THE JOHN R. AND DIANE I. HARRINGTON TRUST U/A DATED MAY 14, 1993	TRUSTEE OF THE JOHN R. AND DIANE I. HARRINGTON TRUST U/A DATED MAY 14, 1993	05/1993
Boettner, Travis, John	Individual	–	CHIEF FINANCIAL OFFICER	04/2018	< 5%

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