AltStreet
EDGAR Verified
Primary Source · SEC.gov

EquityZen Growth Technology Fund LLC - Series 401

CIK 0001775549Single-Deal SPV2019 vintage506(b), 3(c)(1)

Raised

$265K

Investors

14

Min Invest

$10,000

AltStreet Analysis

·

Generated from EDGAR primary sources

EquityZen Growth Technology Fund LLC - Series 401 is a Delaware-based pooled investment fund filed by EquityZen Advisors LLC on 2019-07-31. The fund raised $265K from 14 investors under Rule 506(b) and Section 3(c)(1) exemptions, with a $10K minimum investment. It is part of the EquityZen platform, which operates 1,891 related pre-IPO secondary market vehicles.

This pre-IPO fund employs the standard 506(b)/3(c)(1) exemption structure common to private secondary platforms, targeting accredited investors with a retail-accessible $10K minimum. The investor count and raise size are typical for single-company SPVs facilitating access to private growth-stage equity.

Data Flags

generalPlatform convention: EquityZen series vehicles routinely omit first sale date, state of solicitation, and industry group fields across the entire entity family

EDGAR Filing Data

Form D — Primary Source

View on SEC.gov
CIK Number0001775549
Entity NameEquityZen Growth Technology Fund LLC - Series 401
Exemption506(b), 3(c)(1)
First Sale Date—
Filing DateJuly 31, 2019
Accession Number0001784043-19-000008
Total Amount Sold$265K
Total Investors14
Minimum Investment$10,000
Securities TypeEquity, Pooled Investment Fund
State of IncorporationNot specified
Amendment CountOriginal filing only

Related Persons (Form D)

Executive officers, directors, and promoters listed on the SEC Form D filing. Source: SEC.gov.

EquityZen Advisors LLC

Executive Officer, Director · New York, NY

Richard Thoms

Executive Officer · Salt Lake City, UT

Assure Fund Management II LLC

Director · Salt Lake City, UT

Philip Haslett

Executive Officer, Director · New York, NY

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Data Methodology

Capital raise figures, investor counts, and filing dates are sourced directly from SEC EDGAR Form D primary documents via the SEC EDGAR submissions API and full-text search index. EDGAR entity profiles and deal-level data are reviewed by AltStreet analysts with backgrounds in corporate finance and securities law — cross-referenced against offering circulars, audited financial statements, and primary regulatory filings before publication. Platform-provided information, where present, is clearly labeled and does not affect EDGAR data or AltStreet editorial coverage. Platforms may request factual corrections for demonstrable inaccuracies by contacting [email protected]. This page does not constitute investment advice.