Vivo Capital Fund 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
$1.4B
Investors
44
Min Invest
None stated
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What this filing shows
·Every sentence is a value as filed on SEC Form D
Vivo Capital Fund IX, L.P. is a Delaware limited partnership that first filed a Form D on August 16, 2018 and most recently amended it on October 30, 2019, 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. Vivo Capital Fund IX, L.P. reported $1,401,787,761 sold from 44 investors of a $1,401,787,761 total offering as of the Form D filed October 30, 2019. 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 Probitas Funds Group, LLC (CRD 115876); China Concept Consulting Ltd., associated with None; Gold Eagle Enterprises Limited (CRD 677370), associated with None; Goldman Sachs & Co. LLC (CRD 361) and 1 other as recipients of sales compensation soliciting in AL, AZ, CA, CO, CT, FL, IL, LA, MI, MS, MT, NC, ND, NH, NY, OH, OR, PA, TX, UT, VA, VT, WA. The issuer's address of record is 192 Lytton Avenue, Palo Alto, CA 94301.
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
closed
Fund family Part of the Vivo Capital Fund family: 2 vehicles across 2 generations · adviser of record Vivo Capital, LLC · 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
- The dated record: 16 facts with source, effective date and capture date, viewable as AltStreet knew them on any past day
- 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
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Adviser of Record (Form ADV)
CRD 159868 · 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.
Vivo Capital IX, LLC
Promoter · PALO ALTO, CA
General Partner of the Issuer
Frank Kung
Director · PALO ALTO, CA
Managing Member of the General Partner
Albert Cha
Director · PALO ALTO, CA
Managing Member of the General Partner
Shan Fu
Director · PALO ALTO, CA
Managing Member of the General Partner
Edgar Engleman
Director · PALO ALTO, CA
Managing Member of the General Partner
Chen Yu
Director · PALO ALTO, CA
Managing Member of the General Partner
Placement Agents and Sales Compensation (Form D)
Who the issuer reported paying to sell the securities (Form D Item 12), with the FINRA registration number the filer gave. Source: SEC.gov.
Probitas Funds Group, LLCCRD 115876 on BrokerCheck
San Francisco, CA · Soliciting in AL, AZ, CA, CO, CT, FL, IL, LA, MI, MS, MT, NC, ND, NH, NY, OH, OR, PA, TX, UT, VA, VT, WA
China Concept Consulting Ltd.
Associated broker-dealer: None · Admiralty, K3 and outside the United States
Gold Eagle Enterprises LimitedCRD 677370 on BrokerCheck
Associated broker-dealer: None · Causeway Bay, K3 and outside the United States
Goldman Sachs & Co. LLCCRD 361 on BrokerCheck
New York, NY · Soliciting in all states
XT Capital Partners, LLCCRD 118719 on BrokerCheck
Westport, CT · Soliciting in AZ, CA, CT, DE, FL, GA, IA, MA, NC, NY, OH, RI, TX, VA
Questions About Vivo Capital Fund 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 Vivo Capital Fund IX, L.P.?
Vivo Capital Fund IX, L.P. is a Delaware limited partnership that filed a Form D with the SEC on October 30, 2019 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 Vivo Capital Fund IX, L.P. legit?
AltStreet does not rate legitimacy; it reports the public record. Vivo Capital Fund IX, L.P. filed a Form D with the SEC on October 30, 2019 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 $1,401,787,761 sold to 44 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 Vivo Capital Fund 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 Vivo Capital Fund 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 Vivo Capital Fund IX, L.P. raised?
Vivo Capital Fund IX, L.P. reported $1,401,787,761 sold from 44 investors of a $1,401,787,761 total offering as of the Form D filed October 30, 2019.
Who can invest in Vivo Capital Fund 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 Vivo Capital Fund 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 Vivo Capital Fund IX, L.P. and how are they paid?
The Form D names Probitas Funds Group, LLC (CRD 115876); China Concept Consulting Ltd., associated with None; Gold Eagle Enterprises Limited (CRD 677370), associated with None; Goldman Sachs & Co. LLC (CRD 361) and 1 other as recipients of sales compensation soliciting in AL, AZ, CA, CO, CT, FL, IL, LA, MI, MS, MT, NC, ND, NH, NY, OH, OR, PA, TX, UT, VA, VT, WA.
Who is behind Vivo Capital Fund IX, L.P.?
The Form D lists 6 related persons: Vivo Capital IX, LLC, promoter (General Partner of the Issuer); Frank Kung, director (Managing Member of the General Partner); Albert Cha, director (Managing Member of the General Partner); Shan Fu, director (Managing Member of the General Partner); Edgar Engleman, director (Managing Member of the General Partner); Chen Yu, director (Managing Member of the General Partner). Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.
Where is Vivo Capital Fund IX, L.P. located?
The issuer's address on its SEC filings is 192 Lytton Avenue, Palo Alto, CA 94301. Its phone number of record is (650) 688-0818. It is organized under the laws of Delaware.
How long is the Vivo Capital Fund 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; 5 amendments are on record for this CIK.
How large is Vivo Capital Fund 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.