PAPPAS VENTURES
PAPPAS CAPITAL, LLC Legal Name
Adviser information for PAPPAS VENTURES last updated from Form ADV on March 27th, 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 | North Carolina, 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 | – |
Principal Office
2520 MERIDIAN PARKWAYSUITE 400
DURHAM
NC
United States
Monday - Friday, 8:00-5:00 EST
Tel: 919-998-3300, Fax: 919-998-3301
Chief Compliance Officer
NoneIndustry Affiliates
| AIV MANAGEMENT, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| AMP&A MANAGEMENT IV, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| AMP&A MANAGEMENT V, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PAPPAS MANAGEMENT VI, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| A. M. PAPPAS LIFE SCIENCE VENTURES IV, LP | Venture Capital Fund | $6.3M | $2.0M | 11 |
| A.M. PAPPAS LIFE SCIENCE VENTURES V, LP | Venture Capital Fund | $18.9M | $0.1M | 30 |
| ASIA INNOVATION VENTURES, LP | Venture Capital Fund | $89.8M | $0.3M | 5 |
| CHIESI VENTURES, LP | Venture Capital Fund | $26.8M | $0.6M | 2 |
| PAPPAS LIFE SCIENCE VENTURES VI, LP | Venture Capital Fund | $37.0M | $0.1M | 25 |
| PV IV CEO FUND, LP | Venture Capital Fund | $0.3M | $0.0M | 24 |
| PV V CEO FUND, LP | Venture Capital Fund | $1.7M | $0.1M | 29 |
| PV VI CEO FUND, LP | Venture Capital Fund | $6.4M | $0.0M | 22 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PAPPAS, ARTHUR, M. | Individual | – | OFFICER | 04/1994 | < 5% |
| AMP FAMILY PARTNERSHIP I | Domestic Entity | – | MEMBER | 01/2000 | > 75% |
| AMP GP HOLDINGS, INC. | Domestic Entity | AMP FAMILY PARTNERSHIP I, LP | OWNER | 11/2011 | |
| PAPPAS, ARTHUR, M. | Individual | AMP FAMILY PARTNERSHIP I, LP | OWNER | 11/2011 | 25-50% |
| 2011 KIMBERLY A. PAPPAS TUPPER TRUST | Domestic Entity | AMP FAMILY PARTNERSHIP I, LP | OWNER | 12/2011 | 25-50% |
| 2011 ADAM N. PAPPAS TRUST | Domestic Entity | AMP FAMILY PARTNERSHIP I, LP | OWNER | 12/2011 | 25-50% |
| PAPPAS, ARTHUR, M. | Individual | AMP GP HOLDINGS, INC. | OWNER | 11/2011 | > 75% |
| ARTHUR M. PAPPAS REVOCABLE TRUST | Domestic Entity | – | MANAGING PARTNER AND MEMBER | 01/2017 | < 5% |
| FORD S. WORTHY REVOCABLE TRUST | Domestic Entity | – | MEMBER | 01/2017 | 10-25% |
| WORTHY, FORD, S | Individual | FORD S. WORTHY REVOCABLE TRUST | OWNER | 01/2017 | |
| PAPPAS, ARTHUR, M. | Individual | ARTHUR M. PAPPAS REVOCABLE TRUST | OWNER | 01/2017 | |
| Boyer, Matthew, A. | Individual | – | CHIEF FINANCIAL OFFICER | 07/2019 | < 5% |