RFE Investment Partners 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
$190M
Investors
58
Min Invest
None stated
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What this filing shows
·Every sentence is a value as filed on SEC Form D
RFE Investment Partners IX, L.P. is a Delaware limited partnership that first filed a Form D on February 27, 2020 and most recently amended it on May 27, 2022, 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. RFE Investment Partners IX, L.P. reported $190,104,030 sold from 58 investors in an offering of indefinite size as of the Form D filed May 27, 2022. 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 B. Riley Securities, Inc. (CRD 25027), associated with None; PTP Securities, LLC (CRD 136832), associated with None; Atlantic-Pacific Capital, Inc. (CRD 38356), associated with None; M2O Private Fund Advisors LLC (CRD 158741), associated with None as recipients of sales compensation soliciting in all states. The issuer's address of record is C/O Rfe Associates Ix, LLC, 36 Grove Street, New Canaan, CT 06840.
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 May 27, 2022
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 RFE Investment Partners family: 2 vehicles across 2 generations · adviser of record Rfe Management Corporation · 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 160360 · SEC-registered adviser · lists this fund on Schedule D 7.B.(1) as a private equity fund
Auditor named on Form ADV: Grant Thornton 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.
Item 3 changed on the Form D filed 2022-05-27: 0 related persons added and 1 removed against the filing of 2020-02-27; 8 now listed. The names are in the Terminal feed.
RFE Associates IX, LLC
Executive Officer · New Canaan, CT
General Partner
Michael J. Foster
Executive Officer · New Canaan, CT
Managing Member of the General Partner
James A. Parsons
Executive Officer · New Canaan, CT
Managing Member of the General Partner
Donald A. Juricic
Executive Officer · New Canaan, CT
Managing Member of the General Partner
R. Peter Reiter, Jr.
Executive Officer · New Canaan, CT
Managing Member of the General Partner
Michael W. Rubel
Executive Officer · New Canaan, CT
Managing Member of the General Partner
Paul R. Schilpp
Executive Officer · New Canaan, CT
Managing Member of the General Partner
R. RFE Management Corporation
Executive Officer · New Canaan, CT
Investment Manager
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.
B. Riley Securities, Inc.CRD 25027 on BrokerCheck
Associated broker-dealer: None · LOS ANGELES, CA · Soliciting in all states
PTP Securities, LLCCRD 136832 on BrokerCheck
Associated broker-dealer: None · HARTFORD, CT · Soliciting in all states
Atlantic-Pacific Capital, Inc.CRD 38356 on BrokerCheck
Associated broker-dealer: None · STAMFORD, CT · Soliciting in all states
M2O Private Fund Advisors LLCCRD 158741 on BrokerCheck
Associated broker-dealer: None · WHITE PLAINS, NY · Soliciting in CA, CT, FL, IL, MA, NY, OH
Questions About RFE Investment Partners 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 RFE Investment Partners IX, L.P.?
RFE Investment Partners IX, L.P. is a Delaware limited partnership that filed a Form D with the SEC on May 27, 2022 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 RFE Investment Partners IX, L.P. legit?
AltStreet does not rate legitimacy; it reports the public record. RFE Investment Partners IX, L.P. filed a Form D with the SEC on May 27, 2022 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 $190,104,030 sold to 58 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 RFE Investment Partners 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 RFE Investment Partners 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 RFE Investment Partners IX, L.P. raised?
RFE Investment Partners IX, L.P. reported $190,104,030 sold from 58 investors in an offering of indefinite size as of the Form D filed May 27, 2022.
Who can invest in RFE Investment Partners 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 RFE Investment Partners 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 RFE Investment Partners IX, L.P. and how are they paid?
The Form D names B. Riley Securities, Inc. (CRD 25027), associated with None; PTP Securities, LLC (CRD 136832), associated with None; Atlantic-Pacific Capital, Inc. (CRD 38356), associated with None; M2O Private Fund Advisors LLC (CRD 158741), associated with None as recipients of sales compensation soliciting in all states.
Who is behind RFE Investment Partners IX, L.P.?
The Form D lists 8 related persons: RFE Associates IX, LLC, executive officer (General Partner); Michael J. Foster, executive officer (Managing Member of the General Partner); James A. Parsons, executive officer (Managing Member of the General Partner); Donald A. Juricic, executive officer (Managing Member of the General Partner); R. Peter Reiter, Jr., executive officer (Managing Member of the General Partner); Michael W. Rubel, executive officer (Managing Member of the General Partner); Paul R. Schilpp, executive officer (Managing Member of the General Partner); R. RFE Management Corporation, executive officer (Investment Manager). Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.
Where is RFE Investment Partners IX, L.P. located?
The issuer's address on its SEC filings is C/O Rfe Associates Ix, LLC, 36 Grove Street, New Canaan, CT 06840. Its phone number of record is (203) 966-2800. It is organized under the laws of Delaware.
How long is the RFE Investment Partners 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 RFE Investment Partners 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.