AltStreet
EDGAR Verified
Primary Source · SEC.gov

EquityZen Growth Technology Fund LLC - Series 1406

CIK 0001931628Single-Deal SPV2022 vintage506(b), 3(c)(1)

Raised

$4M

Investors

53

Min Invest

$1,255

AltStreet Analysis

·

Generated from EDGAR primary sources

EquityZen Growth Technology Fund LLC - Series 1406 is a Delaware-domiciled pooled investment fund managed by EquityZen Advisors, raising capital under Rule 506(b) and Section 3(c)(1) exemptions. This amended filing reports $4.3M raised from 53 investors with a $1K minimum investment. The entity is part of EquityZen's platform of nearly 1,900 pre-IPO investment vehicles.

This pre-IPO fund employs the standard 506(b)/3(c)(1) exemption pattern common to private secondary market vehicles, with a $1K minimum reflecting EquityZen's retail-accessible positioning. The 53-investor count and $4.3M raise yield an average commitment of approximately $81K, consistent with democratized access to late-stage private company equity.

Data Flags

generalAmendment filing with no indication of incremental capital raised since original filing; may represent annual update or correction

EDGAR Filing Data

Form D — Primary Source

View on SEC.gov
CIK Number0001931628
Entity NameEquityZen Growth Technology Fund LLC - Series 1406
Exemption506(b), 3(c)(1)
First Sale Date—
Filing DateAugust 25, 2022
Accession Number0001931628-22-000002
Total Amount Sold$4M
Total Investors53
Minimum Investment$1,255
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

Is this your offering?

Claim this profile to add contact information, team members, LinkedIn profiles, fund history, and additional financial data. EDGAR-sourced data and AltStreet analysis cannot be edited, but corrections can be requested for verifiable inaccuracies.

Claim Profile — FreeGet Verified — $2,400/yr

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.