This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$1.1BItem 5.F on the latest filing (2014-02-10); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$1.1B

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

66

Advisory employees

39

Accounts

1

SEC number

801-78884

CRD

165799

Filings on the tape

2

First filed

Nov 26, 2013

Latest filed

Feb 10, 2014

Organised

Corporation, Maryland

• Occurred

  Nov 26, 2013
  First Form ADV filing

  Hercules Technology Growth Capital, Inc. filed its initial SEC registration (Form ADV)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:b3a4a73e-00a0-3cf2-9eec-0f55cc379e05

First observed

Nov 26, 2013

Last observed

Feb 10, 2014 153 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.