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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

NEEDHAM CAPITAL MANAGEMENT, LLC

CRD 163073

NEW YORK, NY

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Search this name across graphsid dfx:ria:622b563e-77e2-5f73-3594-06a3b09a455d

Data as of Mar 21, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 1
Observed: Jan 6, 2015 to Mar 21, 2018
6 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Needham Capital Management, LLC

Firm · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $547,988Item 5.F on the latest filing (2018-03-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $547,988
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 3
Individual clients: 0
High net worth clients: 0
Private funds: 3Schedule D 7.B(1)
Private fund GAV: $547,988gross asset value as reported per fund; never fund size
Custody, client assets: $547,988
SEC number: 801-80850
CRD: 163073
Filings on the tape: 6
First filed: Jan 6, 2015
Latest filed: Mar 21, 2018
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
NEEDHAM CAPITAL PARTNERS II, L.P.	Private Equity Fund	$234,432	Mar 21, 2018	107	Mar 28, 2012	reported	021-9999999999
NEEDHAM CAPITAL PARTNERS III, L.P.	Private Equity Fund	$178,589	Mar 21, 2018	215	Mar 28, 2012	reported	021-1130539
NEEDHAM CAPITAL PARTNERS IIIA, L.P.	Private Equity Fund	$134,967	Mar 21, 2018	51	Mar 28, 2012	reported	021-1130544

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ABBRUZZESE, JAMES, MICHAEL	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	Na	yes	07/1998	Jan 6, 2015	Mar 21, 2018
GIANGRASSO, JAMES, WILLIAM	PRINCIPAL - CHIEF FINANCIAL OFFICER	Na	yes	01/1998	Jan 6, 2015	Mar 21, 2018
NEEDHAM ASSET MANAGEMENT, LLC	Member	E	yes	05/2006	Jan 6, 2015	Mar 21, 2018
NEEDHAM HOLDINGS, LLC	Member	E	yes	05/2006	Jan 6, 2015	Mar 21, 2018
NEEDHAM, GEORGE, AUSTIN	Shareholder	C	yes	12/2004	Jan 6, 2015	Mar 21, 2018
NEEDHAM, GEORGE, AUSTIN	MANAGING MEMBER	Na	yes	01/1998	Jan 6, 2015	Mar 21, 2018
PRIOR, JOHN, JOSEPH	MANAGING MEMBER	Na	yes	01/1998	Jan 6, 2015	Mar 21, 2018
THE NEEDHAM GROUP, INC.	Member	E	yes	12/2004	Jan 6, 2015	Mar 21, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
NEEDHAM INVESTMENT MANAGEMENT, LLC	n/a	Asset manager	$1.8B	N	yes	n/a
NEEDHAM & COMPANY, LLC	n/a	No RAUM reported	$0	N	yes	n/a
NEEDHAM CAPITAL MANAGEMENT (BERMUDA), LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 21, 2018	$547,988	$547,988	7	2	0	3	$547,988
2016	Mar 30, 2017	$10.0M	$10.0M	10	2	n/a	3	$10.1M
2015	Mar 29, 2016	$10.1M	$10.1M	9	4	n/a	3	$10.4M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$547,988	$10.0M	-94.5%	n/a	n/a	7	10	0	n/a

Relationships

Affiliated with (2)

→ NEEDHAM INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ NEEDHAM & COMPANY, LLCRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV

Advises (3)

→ NEEDHAM CAPITAL PARTNERS II, L.P.Private fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ NEEDHAM CAPITAL PARTNERS IIIA, L.P.Private fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ NEEDHAM CAPITAL PARTNERS III, L.P.Private fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV

Controls (7)

← PRIOR, JOHN, JOSEPHOwnerMANAGING MEMBER, ownership code NA, individual
Jan 6, 2015 to presentfactForm ADV
← ABBRUZZESE, JAMES, MICHAELOwnerMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 6, 2015 to presentfactForm ADV
← NEEDHAM, GEORGE, AUSTINOwnerSHAREHOLDER, ownership code C, individual
Jan 6, 2015 to presentfactForm ADV
← GIANGRASSO, JAMES, WILLIAMOwnerPRINCIPAL - CHIEF FINANCIAL OFFICER, ownership code NA, individual
Jan 6, 2015 to presentfactForm ADV
← NEEDHAM ASSET MANAGEMENT, LLCOwnerMEMBER, ownership code E, domestic entity
Jan 6, 2015 to presentfactForm ADV
← NEEDHAM HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Jan 6, 2015 to presentfactForm ADV
← THE NEEDHAM GROUP, INC.OwnerMEMBER, ownership code E, domestic entity
Jan 6, 2015 to presentfactForm ADV

Dated events

Occurred
Jan 6, 2015
First Form ADV filing
Needham Capital Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:622b563e-77e2-5f73-3594-06a3b09a455d
First observed: Jan 6, 2015
Last observed: Mar 21, 2018 103 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NEEDHAM CAPITAL MANAGEMENT, LLC

CRD 163073

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:622b563e-77e2-5f73-3594-06a3b09a455d

Data as of Mar 21, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:50 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

NEEDHAM CAPITAL PARTNERS II, L.P.

Private Equity Fund

$234,432

Mar 21, 2018

107

Mar 28, 2012

reported

021-9999999999

NEEDHAM CAPITAL PARTNERS III, L.P.

Private Equity Fund

$178,589

Mar 21, 2018

215

Mar 28, 2012

reported

021-1130539

NEEDHAM CAPITAL PARTNERS IIIA, L.P.

Private Equity Fund

$134,967

Mar 21, 2018

Mar 28, 2012

reported

021-1130544

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ABBRUZZESE, JAMES, MICHAEL

MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER

yes

07/1998

Jan 6, 2015

Mar 21, 2018

GIANGRASSO, JAMES, WILLIAM

PRINCIPAL - CHIEF FINANCIAL OFFICER

yes

01/1998

Jan 6, 2015

Mar 21, 2018

NEEDHAM ASSET MANAGEMENT, LLC

Member

yes

05/2006

Jan 6, 2015

Mar 21, 2018

NEEDHAM HOLDINGS, LLC

Member

yes

05/2006

Jan 6, 2015

Mar 21, 2018

NEEDHAM, GEORGE, AUSTIN

Shareholder

yes

12/2004

Jan 6, 2015

Mar 21, 2018

NEEDHAM, GEORGE, AUSTIN

MANAGING MEMBER

yes

01/1998

Jan 6, 2015

Mar 21, 2018

PRIOR, JOHN, JOSEPH

MANAGING MEMBER

yes

01/1998

Jan 6, 2015

Mar 21, 2018

THE NEEDHAM GROUP, INC.

Member

yes

12/2004

Jan 6, 2015

Mar 21, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NEEDHAM INVESTMENT MANAGEMENT, LLC

n/a

Asset manager

$1.8B

yes

n/a

NEEDHAM & COMPANY, LLC

n/a

No RAUM reported

yes

n/a

NEEDHAM CAPITAL MANAGEMENT (BERMUDA), LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 21, 2018

$547,988

2016

Mar 30, 2017

$10.0M

n/a

$10.1M

2015

Mar 29, 2016

$10.1M

n/a

$10.4M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$547,988

$10.0M

-94.5%

n/a