Pomona Capital 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
$1.6B
Investors
115
Min Invest
None stated
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What this filing shows
·Every sentence is a value as filed on SEC Form D
Pomona Capital IX, L.P. is a Delaware limited partnership organized in 2015 that first filed a Form D on March 30, 2016 and most recently amended it on March 30, 2018, describing itself as a private equity fund. The offering claims Rule 506(b), Section 3(c), Section 3(c)(7) and covers pooled investment fund interests. Pomona Capital IX, L.P. reported $1,622,954,081 sold from 115 investors of a $1,750,000,000 total offering as of the Form D filed March 30, 2018. The filing states that the figure is combined across related vehicles, so it is not this entity's figure alone. 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 $0 and finders' fees as $0. Form D allows these to be estimates. The issuer's address of record is 780 Third Avenue, 46th Floor, New York, NY 10017.
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 March 30, 2018
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 Pomona Capital family: 8 vehicles across 4 generations; Same adviser as Pomona Investment Fund · adviser of record Pomona Capital · full family and the filing behind each link in the terminal
Investor
- The full fund family and 1 related vehicle (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 148269 · SEC-registered adviser · lists this fund on Schedule D 7.B.(1) as a private equity fund
Auditor named on Form ADV: Ernst & Young LLP · 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.
Pomona Associates IX, L.P.
Promoter · New York, NY
"General Partner of the Issuer (the ""General Partner"")"
Pomona Secondary Associates IX, LLC
Promoter · New York, NY
"General Partner of the General Partner (the ""GPLLC"")"
Pomona G.P. Holdings LLC
Promoter · New York, NY
Sole member of the GPLLC
Pomona Management LLC
Promoter · New York, NY
Manager
Michael Granoff
Executive Officer · New York, NY
Executive Officer of Manager
Frances Janis
Executive Officer · New York, NY
Executive Officer of Manager
Stephen Futrell
Executive Officer · New York, NY
Executive Officer of Manager
Questions About Pomona Capital 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 Pomona Capital IX, L.P.?
Pomona Capital IX, L.P. is a Delaware limited partnership organized in 2015 that filed a Form D with the SEC on March 30, 2018 as a private equity fund. The filing claims Rule 506(b), Section 3(c), Section 3(c)(7) for an offering of pooled investment fund interests.
Is Pomona Capital IX, L.P. legit?
AltStreet does not rate legitimacy; it reports the public record. Pomona Capital IX, L.P. filed a Form D with the SEC on March 30, 2018 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 $1,622,954,081 sold to 115 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 Pomona Capital 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 Pomona Capital 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 Pomona Capital IX, L.P. raised?
Pomona Capital IX, L.P. reported $1,622,954,081 sold from 115 investors of a $1,750,000,000 total offering as of the Form D filed March 30, 2018. The filing states that the figure is combined across related vehicles, so it is not this entity's figure alone.
Who can invest in Pomona Capital 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 Pomona Capital 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 Pomona Capital 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 $0 and finders' fees as $0. Form D allows these to be estimates.
Who is behind Pomona Capital IX, L.P.?
The Form D lists 7 related persons: Pomona Associates IX, L.P., promoter ("General Partner of the Issuer (the ""General Partner"")"); Pomona Secondary Associates IX, LLC, promoter ("General Partner of the General Partner (the ""GPLLC"")"); Pomona G.P. Holdings LLC, promoter (Sole member of the GPLLC); Pomona Management LLC, promoter (Manager); Michael Granoff, executive officer (Executive Officer of Manager); Frances Janis, executive officer (Executive Officer of Manager); Stephen Futrell, executive officer (Executive Officer of Manager). Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.
Where is Pomona Capital IX, L.P. located?
The issuer's address on its SEC filings is 780 Third Avenue, 46th Floor, New York, NY 10017. Its phone number of record is 212-593-3639. It is organized under the laws of Delaware.
How long is the Pomona Capital 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; 2 amendments are on record for this CIK.
How large is Pomona Capital 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.