Dover Street IX L.P.
Built from the SEC filing index the day the filing landed. The figures below are the issuer's own from Form D; AltStreet's analysis, sponsor link and data flags follow when the entity is enriched.
Raised
$3.9B
Investors
74
Min Invest
None stated
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What this filing shows
·Every sentence is a value as filed on SEC Form D
Dover Street IX L.P. is a Delaware limited partnership organized in 2015 that first filed a Form D on December 11, 2015 and most recently amended it on July 21, 2016, describing itself as a private equity fund. The offering claims Rule 506(b), Section 3(c), Section 3(c)(7) and covers equity and pooled investment fund interests. Dover Street IX L.P. reported $3,922,301,200 sold from 74 investors in an offering of indefinite size as of the Form D filed July 21, 2016. The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. Because the fund also relies on Section 3(c)(7), each investor must be a qualified purchaser, generally an individual with at least $5 million in investments. The filing reports no non-accredited investors. The filing lists the minimum investment as $0, meaning no minimum was stated. The Form D names no recipient of sales compensation, which usually means the issuer or its affiliates are placing the securities directly. Sales commissions are reported as $3,000,000 and finders' fees as $0. Form D allows these to be estimates. The issuer's address of record is Harbourvest Partners, LLC, One Financial Center, 44th Floor, Boston, MA 02111.
Critical Disclosures
What the filings and the regulators have said about this entity that a reader should know first. Each line links to its source. The history, the same event across other issuers, and alerts are in the terminal.
Reporting lapsed · Form D · last filing July 21, 2016
Offering declared to continue beyond a year; annual amendment 13+ months overdue An issuer that stops filing is the case the going-concern flag cannot catch: the report that would have carried it was never filed.
EDGAR Filing Data
Form D — Primary Source
View on SEC.govFilings on Record
Every filing AltStreet's ledger holds for this CIK, newest first. Each opens the SEC archive folder.
In the Terminal
Filing events
0
none on file
Critical / warning
0 / 0
0 watch · 0 info
Statements extracted
0
none on file
NAV prints
0
none on file
Offering chains
1
dark
Fund family Part of the Dover Street family: 4 vehicles across 4 generations · full family and the filing behind each link in the terminal
Investor
- The full fund family and any related vehicles (parallel, feeder, successor, sibling series) with the filing that shows each link
- 1 offering timeline: velocity, share raised, first-sale lag, stalled flags
Pro
- This issuer against its cohort: rank by velocity and share raised among offerings filed the same quarter
- The same events, statements and NAV moves across every issuer, screenable, with unlimited watches and CSV
Counts and dates above are the free record. The values, the series and the comparisons are the seat. Loading your view…
Adviser of Record (Form ADV)
CRD 109846 · SEC-registered adviser · lists this fund on Schedule D 7.B.(1) as a private equity fund
Auditor named on Form ADV: Ernst & Young · PCAOB-registered per the adviser
From the adviser's Form ADV as loaded from the SEC bulk data, joined on this issuer's Form D file number. Fund-level figures and the adviser's full fund roster are in the terminal.
Related Persons (Form D)
Executive officers, directors, and promoters listed on the SEC Form D filing. Source: SEC.gov.
Item 3 changed on the Form D filed 2016-07-21: 1 related person added and 0 removed against the filing of 2015-12-11; 18 now listed. The names are in the Terminal feed.
Dover IX Associates L.P.
Promoter · Boston, MA
George R. Anson
Executive Officer · London, X0
of the Managing Member of the General Partner of the General Partner (or its affiliates)
Kathleen M. Bacon
Executive Officer · London, X0
of the Managing Member of the General Partner of the General Partner (or its affiliates)
Brett A. Gordon
Executive Officer · Boston, MA
of the Managing Member of the General Partner of the General Partner (or its affiliates)
Jeffrey R. Keay
Executive Officer · Boston, MA
of the Managing Member of the General Partner of the General Partner (or its affiliates)
Peter R. Lipson
Executive Officer · Boston, MA
of the Managing Member of the General Partner of the General Partner (or its affiliates)
John G. Morris
Executive Officer · Boston, MA
of the Managing Member of the General Partner of the General Partner (or its affiliates)
Julia H. Ocko
Executive Officer · Boston, MA
of the Managing Member of the General Partner of the General Partner (or its affiliates)
Alex A. Rogers
Executive Officer · London, X0
of the Managing Member of the General Partner of the General Partner (or its affiliates)
Gregory V. Stento
Executive Officer · Boston, MA
of the Managing Member of the General Partner of the General Partner (or its affiliates)
Michael W. Taylor
Executive Officer · Boston, MA
of the Managing Member of the General Partner of the General Partner (or its affiliates)
Hemal W. Thakore
Executive Officer · Central, K3
of the Managing Member of the General Partner of the General Partner (or its affiliates)
John M. Toomey, Jr.
Executive Officer · Boston, MA
of the Managing Member of the General Partner of the General Partner (or its affiliates)
Mary M. Traer
Executive Officer · Boston, MA
of the Managing Member of the General Partner of the General Partner (or its affiliates)
Scott C. Voss
Executive Officer · Boston, MA
of the Managing Member of the General Partner of the General Partner (or its affiliates)
Robert M. Wadsworth
Executive Officer · Boston, MA
of the Managing Member of the General Partner of the General Partner (or its affiliates)
Peter G. Wilson
Executive Officer · London, X0
of the Managing Member of the General Partner of the General Partner (or its affiliates)
D. Brooks Zug
Executive Officer · Boston, MA
of the Managing Member of the General Partner of the General Partner (or its affiliates)
Questions About Dover Street IX L.P.
Each answer is built from the values on the SEC filing and the AltStreet ledger, not from the issuer's marketing.
What is Dover Street IX L.P.?
Dover Street IX L.P. is a Delaware limited partnership organized in 2015 that filed a Form D with the SEC on July 21, 2016 as a private equity fund. The filing claims Rule 506(b), Section 3(c), Section 3(c)(7) for an offering of equity and pooled investment fund interests.
Is Dover Street IX L.P. legit?
AltStreet does not rate legitimacy; it reports the public record. Dover Street IX L.P. filed a Form D with the SEC on July 21, 2016 claiming Rule 506(b), Section 3(c), Section 3(c)(7). A Form D is a notice of an exempt offering, not a review or approval of it. The newest notice reports $3,922,301,200 sold to 74 investors. AltStreet's enforcement record (SEC, FINRA and state actions) shows no action naming the issuer as of today. Before investing, confirm the filing on EDGAR, check the seller's registration on FINRA BrokerCheck, and read the offering documents, which a Form D does not include.
Is Dover Street IX L.P. registered with or approved by the SEC?
No. A Form D is a notice that an issuer is selling securities under an exemption from registration, and the SEC does not review, approve, or pass on the merits of the offering. The filing shows that Dover Street IX L.P. claimed Rule 506(b), Section 3(c), Section 3(c)(7) and disclosed the items the form requires, such as the amount sold, the minimum investment, related persons, and anyone paid to sell the securities. It does not verify the issuer's claims or its business.
How much has Dover Street IX L.P. raised?
Dover Street IX L.P. reported $3,922,301,200 sold from 74 investors in an offering of indefinite size as of the Form D filed July 21, 2016.
Who can invest in Dover Street IX L.P.?
The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. Because the fund also relies on Section 3(c)(7), each investor must be a qualified purchaser, generally an individual with at least $5 million in investments. The filing reports no non-accredited investors. The filing lists the minimum investment as $0, meaning no minimum was stated.
What is the minimum investment in Dover Street IX L.P.?
The Form D lists the minimum investment as $0, which means the issuer did not state a minimum on the form. The offering documents, not the Form D, set the actual subscription terms.
Who is selling Dover Street IX L.P. and how are they paid?
The Form D names no recipient of sales compensation, which usually means the issuer or its affiliates are placing the securities directly. Sales commissions are reported as $3,000,000 and finders' fees as $0. Form D allows these to be estimates.
Who is behind Dover Street IX L.P.?
The Form D lists 18 related persons: Dover IX Associates L.P., promoter; George R. Anson, executive officer (of the Managing Member of the General Partner of the General Partner (or its affiliates)); Kathleen M. Bacon, executive officer (of the Managing Member of the General Partner of the General Partner (or its affiliates)); Brett A. Gordon, executive officer (of the Managing Member of the General Partner of the General Partner (or its affiliates)); Jeffrey R. Keay, executive officer (of the Managing Member of the General Partner of the General Partner (or its affiliates)); Peter R. Lipson, executive officer (of the Managing Member of the General Partner of the General Partner (or its affiliates)); John G. Morris, executive officer (of the Managing Member of the General Partner of the General Partner (or its affiliates)); Julia H. Ocko, executive officer (of the Managing Member of the General Partner of the General Partner (or its affiliates)), and 10 more. Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.
Where is Dover Street IX L.P. located?
The issuer's address on its SEC filings is Harbourvest Partners, LLC, One Financial Center, 44th Floor, Boston, MA 02111. Its phone number of record is 617-348-3707. It is organized under the laws of Delaware.
How long is the Dover Street IX L.P. offering open?
The issuer indicated that the offering is intended to last more than one year. An issuer must amend its Form D annually while a continuing offering stays open; 1 amendment is on record for this CIK.
How large is Dover Street IX L.P.?
The issuer declined to disclose its revenue range on the Form D, which the form permits.
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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.