9AT: RUBICON TECHNOLOGY MANAGEMENT L.L.C.

other names

RUBICON TECHNOLOGY MANAGEMENT L.L.C.
RUBICON TECHNOLOGY PARTNERS GP L.L.C. (RELYING ADVISOR)

Adviser Profile

As of Date	03/18/2025
ADV Location	BOULDER, CO, United States
Adviser Type - Large advisory firm
Number of Employees	31 29%
of those in investment advisory functions	25 19%
Registration	SEC, Approved, 06/03/2015
Other registrations (1)	SEC, ERA - Withdrawn, 05/19/2015

AUM^*	4,271,203,472 12%
of that, discretionary	4,271,203,472 12%
Private Fund GAV^*	3,068,380,893 -23%
Avg Account Size	305,085,962 -28%
SMA’s	No
Private Funds	17 8
Contact Info	(30 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Fund Type	Count	GAV
Fund TypePrivate Equity Fund	Count17	GAV$3,068,380,893

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser STARR PRIVATE EQUITY PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund3.8b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV3.8b	AUM4.6b	#Funds20
Adviser AMERICANA PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund211.3m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund60.0m	Total Private Fund GAV271.3m	AUM6.1b	#Funds11
Adviser MORGAN STANLEY PRIVATE EQUITY ASIA, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund2.2b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.2b	AUM2.2b	#Funds14
Adviser GALLATIN POINT CAPITAL LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund4.9b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV4.9b	AUM5.2b	#Funds63
Adviser CHICAGO PACIFIC FOUNDERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund7.1b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV7.1b	AUM4.7b	#Funds28
Adviser EVERGREEN CAPITAL MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund377.1m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund40.0m	Total Private Fund GAV417.1m	AUM5.2b	#Funds10
Adviser TPG SOLUTIONS ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund6.1b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV6.1b	AUM6.1b	#Funds29
Adviser PEAK ROCK CAPITAL LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund8.6b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV8.6b	AUM4.6b	#Funds29
Adviser BECKER CAPITAL MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund18.1m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV18.1m	AUM5.0b	#Funds1
Adviser THE CATALYST CAPITAL GROUP INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund2.4b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.4b	AUM2.4b	#Funds6

Brochure Summary

Overview

A. RUBICON is a private investment firm that focuses primarily on investing in mature lower mid- market technology companies. The Firm was established in 2012 with its principal office in Boulder, Colorado and other offices in Palo Alto, California, and New Haven, Connecticut. RUBICON serves as an investment adviser to pooled investment vehicles (the “Funds” or “Clients,” and each a “Fund” or “Client”) that are exempt from registration under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Firm’s principal owners are John Hodge, Jason Winsten, and Steve Carpenter who are managing members. Andrew Gesell is an additional non-owner managing member. B. RUBICON provides investment advisory services solely to the Funds with respect to the identification, acquisition, management and disposition of, primarily, mature lower mid- market enterprise software companies pursuant to management agreements between RUBICON, the Funds and the general partner entities of each Fund (the “GP Entity” or “GP Entities”). From time to time

the Firm forms and manages, on a transaction-by-transaction basis, special purpose vehicles to participate in investment opportunities, often alongside the Funds. All of the vehicles described in this paragraph are referred to herein as “SPVs.” Unlike the Funds which do not limit the Firm’s investment discretion, RUBICON is often limited to investing only in the securities relating to the particular transaction for which the SPV was organized. C. Each Fund and SPV has a specific investment focus. The offering materials and governing documents of each Fund and SPV set forth these specific guidelines and restrictions, which include, among other things, limits on the size, concentration, geography and type of security of the Fund’s underlying portfolio investments. Investors in such Fund (the “Investors”) do not have the ability to impose specific investment objectives or restrictions on such Fund. D. The Firm does not participate in wrap fee programs. E. As of December 31, 2023, RUBICON managed $3,978,022,464 in Clients’ assets on a discretionary basis and $0 on a non-discretionary basis.

RUBICON TECHNOLOGY MANAGEMENT L.L.C.

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