AltStreet
EDGAR Verified
Primary Source · SEC.gov

EquityZen Growth Technology Fund LLC - Series 407

CIK 0001775500Single-Deal SPV2019 vintage506(b), 3(c)(1)

Raised

$4M

Investors

92

Min Invest

$10,000

AltStreet Analysis

·

Generated from EDGAR primary sources

EquityZen Growth Technology Fund LLC - Series 407 is a Delaware pooled investment fund vehicle that raised $4.0M from 92 investors under Rule 506(b) and 3(c)(1) exemptions, with a $10K minimum investment. Filed July 2019 by EquityZen Advisors and Assure Fund Management II, this entity is part of the EquityZen platform, which operates nearly 1,900 related pre-IPO investment vehicles.

This pre-IPO fund employs the standard 506(b)/3(c)(1) exemption pairing typical of retail-accessible private growth equity vehicles. The $10K minimum represents the lower tier of pre-IPO access products, enabling broader investor participation compared to institutional-only structures, with an average commitment of approximately $43K per investor.

Data Flags

generalPlatform convention: First sale date not disclosed and states of solicitation not specified, consistent with EquityZen's standard filing template across all sampled sibling entities

EDGAR Filing Data

Form D — Primary Source

View on SEC.gov
CIK Number0001775500
Entity NameEquityZen Growth Technology Fund LLC - Series 407
Exemption506(b), 3(c)(1)
First Sale Date—
Filing DateJuly 5, 2019
Accession Number0001781138-19-000002
Total Amount Sold$4M
Total Investors92
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

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.