SEC filing record
Primary Source · SEC.gov

Coller Secondaries Access Fund IX (Offshore), L.P.

Fund Vehicle2024 vintage506(b), 3(c)
Latest signalNew Form D filerForm D · 2024-01-11Last filing 2024-01-11

Raised

$36M

Investors

124

Min Invest

$50,000

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AltStreet Analysis

·

Generated from EDGAR primary sources

Coller Secondaries Access Fund IX (Offshore), L.P. is a Cayman Islands-domiciled pooled investment fund that raised $36.3M from 124 investors under Rule 506(b) and Section 3(c) exemptions. The filing was submitted January 11, 2024, with a $50K minimum investment. Related persons include iCapital Alternative Investments LLC and MaplesFS Directors Limited as executive officers, and Asterion Fund Services (Offshore) Ltd. as promoter.

This offshore secondaries fund employs the standard 506(b)/3(c) exemption structure common to private alternative investment vehicles, with a $50K minimum investment positioning it in the accessible accredited investor tier rather than purely institutional. The 124-investor count is notably high for a $36.3M raise, suggesting an average commitment under $300K and a retail-accredited or sub-institutional investor base.

Data Flags

generalOffshore domicile (Cayman Islands) filing Form D indicates cross-border structure with U.S. investor access
investor_count124 investors contributing $36.3M implies average investment of ~$292K, unusually high investor count relative to raise suggesting broad retail-accredited distribution
first_sale_dateFirst sale date not disclosed on filing

EDGAR Filing Data

Form D — Primary Source

View on SEC.gov
CIK Number0002005528
Entity NameColler Secondaries Access Fund IX (Offshore), L.P.
ExemptionRule 506(b), Section 3(c), Section 3(c)(7)
What the exemption meansRule 506(b) of Regulation D: securities may be sold to an unlimited number of accredited investors and up to 35 non-accredited investors who meet the rule's sophistication standard, without general solicitation or advertising. Section 3(c) of the Investment Company Act of 1940: the issuer is a pooled investment vehicle relying on an exclusion from registration as an investment company. Section 3(c)(7) of the Investment Company Act: the fund is excluded from investment-company registration because every investor is a qualified purchaser, generally an individual with at least $5 million in investments or an institution with at least $25 million.
Entity TypeLimited Partnership
Jurisdiction of OrganizationCayman Islands
Issuer AddressOne Grand Central Place, 60 East 42nd Street, 26th Floor, New York, NY 10165
Phone(212) 994-7400
Industry / Fund TypePooled Investment Fund · Private Equity Fund
Investment Company ActExcluded under Section 3(c)(7) (qualified purchasers only)
Securities TypePooled Investment Fund
First Sale Date—
Filing DateJanuary 11, 2024
Accession Number0002005528-24-000001
Total Offering Amount$36,263,000
Total Amount Sold$36,263,000
Amount Remaining$0
Total Investors124
Non-Accredited InvestorsNone
Minimum Investment$50,000
Offering DurationOne year or less
Sales Commissions$215,355 (to Merrill Lynch, Pierce, Fenner & Smith Incorporated)
Finders' Fees$0
Revenue RangeDecline to Disclose
State (Issuer Address)NY
Amendment CountOriginal filing only

Filings on Record

Every filing AltStreet's ledger holds for this CIK, newest first. Each opens the SEC archive folder.

AltStreet Coverage

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All AltStreet news

In the Terminal

Filing events

1

latest Jan 11, 2024

Critical / warning

0 / 0

1 watch · 0 info

Statements extracted

0

none on file

NAV prints

0

none on file

Offering chains

1

closed

Latest event New filer · Jan 11, 2024

SEC.gov
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Fund family Part of the Coller Secondaries Access Fund family: 2 vehicles across 1 generation · 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: 12 facts with source, effective date and capture date, viewable as AltStreet knew them on any past day
  • 1 filing event with values and deltas, latest 2024-01-11, and alerts on the next one
  • 1 offering timeline: velocity, share raised, first-sale lag, stalled flags

Pro

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Related Persons (Form D)

Executive officers, directors, and promoters listed on the SEC Form D filing. Source: SEC.gov.

-- iCapital Alternative Investments LLC

Executive Officer · New York, NY

-- MaplesFS Directors Limited

Executive Officer · Grand Cayman, E9

-- Asterion Fund Services (Offshore) Ltd.

Promoter · Grand Cayman, E9

Edward Truitt, Jr.

Executive Officer · Wilmington, DE

Scott Huff

Executive Officer · Wilmington, DE

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.

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCRD 7691 on BrokerCheck

Associated broker-dealer: None · New York, NY · Soliciting in all states

Questions About Coller Secondaries Access Fund IX (Offshore), 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 Coller Secondaries Access Fund IX (Offshore), L.P.?

Coller Secondaries Access Fund IX (Offshore), L.P. is a Cayman Islands limited partnership that filed a Form D with the SEC on January 11, 2024 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. AltStreet links the issuer to iCapital.

Is Coller Secondaries Access Fund IX (Offshore), L.P. legit?

AltStreet does not rate legitimacy; it reports the public record. Coller Secondaries Access Fund IX (Offshore), L.P. filed a Form D with the SEC on January 11, 2024 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 $36,263,000 sold to 124 investors. AltStreet's enforcement record (SEC, FINRA and state actions) shows no action naming the issuer as of today. The issuer is linked to iCapital, which AltStreet has reviewed. 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 Coller Secondaries Access Fund IX (Offshore), 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 Coller Secondaries Access Fund IX (Offshore), 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 Coller Secondaries Access Fund IX (Offshore), L.P. raised?

Coller Secondaries Access Fund IX (Offshore), L.P. reported $36,263,000 sold from 124 investors of a $36,263,000 total offering as of the Form D filed January 11, 2024.

Who can invest in Coller Secondaries Access Fund IX (Offshore), 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 minimum investment accepted from an outside investor is $50,000.

What is the minimum investment in Coller Secondaries Access Fund IX (Offshore), L.P.?

The Form D lists $50,000 as the minimum investment accepted from any outside investor as of January 11, 2024. Issuers can waive their own minimums, and the figure does not include fees.

Who is selling Coller Secondaries Access Fund IX (Offshore), L.P. and how are they paid?

The Form D names Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD 7691), associated with None as the recipient of sales compensation soliciting in all states. Sales commissions are reported as $215,355 and finders' fees as $0. Form D allows these to be estimates.

Who is behind Coller Secondaries Access Fund IX (Offshore), L.P.?

The Form D lists 5 related persons: iCapital Alternative Investments LLC, executive officer; MaplesFS Directors Limited, executive officer; Asterion Fund Services (Offshore) Ltd., promoter (General Partner of the Issuer); Edward Truitt, Jr., executive officer; Scott Huff, executive officer. Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.

Where is Coller Secondaries Access Fund IX (Offshore), L.P. located?

The issuer's address on its SEC filings is One Grand Central Place, 60 East 42nd Street, 26th Floor, New York, NY 10165. Its phone number of record is (212) 994-7400. It is organized under the laws of Cayman Islands.

How long is the Coller Secondaries Access Fund IX (Offshore), L.P. offering open?

The issuer indicated that the offering is not intended to last more than one year. An issuer must amend its Form D annually while a continuing offering stays open, and no amendment is on record yet.

How large is Coller Secondaries Access Fund IX (Offshore), 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.