DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Rubicon Technology Management L.L.C.
Latest filing Mar 19, 2026
First filing on the tape May 19, 2015 · 20 filings
SEC status approved since Jun 3, 2015
RAUM
$4.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
37
29 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
15
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$4.8B as of Mar 19, 2026
Mar 4, 2016$361M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 4, 20160 then
Employees (5.A)37 as of Mar 19, 2026
Mar 4, 20167 then
Private funds15 as of Mar 19, 2026
Mar 4, 20163 then
RAUM +13% over the last fiscal year+8.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $323MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Rubicon Technology Partners IV L.P. | Private Equity Fund | $1.6B | 194 | Mar 25, 2022 |
| Rubicon Technology Partners III LP. | Private Equity Fund | $1.4B | 127 | Mar 30, 2020 |
| Rubicon Technology Partners II L.P. | Private Equity Fund | $556M | 89 | Mar 31, 2017 |
| Rubicon Technology Partners L.P. | Private Equity Fund | $162M | 56 | Nov 26, 2013 |
| Rtp A Holdings LPno longer reported | Private Equity Fund | $59.2M | 3 | Mar 24, 2015 |
| Rtp F Holdings LP | Private Equity Fund | $55.5M | 8 | Mar 24, 2023 |
| Rtp J Holdings LP | Private Equity Fund | $45.6M | 11 | Mar 19, 2024 |
| Rtp B Holdings LP | Private Equity Fund | $44.7M | 12 | Mar 26, 2019 |
| Rtp G Holdings LP | Private Equity Fund | $33.9M | 3 | Mar 24, 2023 |
| Rtp C Holdings LP | Private Equity Fund | $27.5M | 2 | Mar 30, 2020 |
| Rtp D Holdings LP | Private Equity Fund | $14.2M | 3 | Mar 25, 2022 |
| Rtp H Holdings LP | Private Equity Fund | $9.0M | 3 | Mar 19, 2024 |
| Rtp T Holdings LPno longer reported | Private Equity Fund | $1.1M | 13 | Mar 24, 2015 |
Owners and control persons
Schedule A and B, latest filing
- Steve Carpenter · Partner, Managing Membercontrolsince 09/2012 · owns 25% to 50%
- Lehn Jonathan Franke · Chief Compliance Officer, Chief Financial Officercontrolsince 03/2020 · owns less than 5%
- Saito Andrew Gesell · Senior Advisor, Managing Membercontrolsince 09/2012 · owns less than 5%
- Charles John Hodge · Partner, Managing Membercontrolsince 09/2012 · owns 25% to 50%
- Jason Winsten · Partner, Managing Membercontrolsince 03/2020 · owns 25% to 50%
Related persons
Schedule D 7.A
- Rubicon Technology Partners Gp L.L.C.pooled vehicle sponsory
- Rubicon Technology Partners II Gp L.L.C.pooled vehicle sponsory
- Rubicon Technology Partners III Gp LLC.pooled vehicle sponsory
- Rubicon Technology Partners IV Gp LLCpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- New Haven, CT4 employees
- Palo Alto, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 14 to 15Mar 18, 2025 to Mar 19, 2026
- Advisory employees · 25 to 29Mar 18, 2025 to Mar 19, 2026
- Pooled vehicle clients · 14 to 15Mar 18, 2025 to Mar 19, 2026
- Employees · 31 to 37Mar 18, 2025 to Mar 19, 2026
- Private funds · 14 to 15Mar 18, 2025 to Mar 19, 2026
- Discretionary RAUM · $4.3B to $4.8BMar 18, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $4.3B to $4.8BMar 18, 2025 to Mar 19, 2026
- RAUM · $4.3B to $4.8BMar 18, 2025 to Mar 19, 2026
- Accounts · 11 to 14Mar 19, 2024 to Mar 18, 2025
- Advisory employees · 27 to 25Mar 19, 2024 to Mar 18, 2025
- Pooled vehicle clients · 11 to 14Mar 19, 2024 to Mar 18, 2025
- Employees · 32 to 31Mar 19, 2024 to Mar 18, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 18, 2025
- Private funds · 11 to 14Mar 19, 2024 to Mar 18, 2025
- Discretionary RAUM · $4.0B to $4.3BMar 19, 2024 to Mar 18, 2025
- Pooled vehicle RAUM · $4.0B to $4.3BMar 19, 2024 to Mar 18, 2025
- RAUM · $4.0B to $4.3BMar 19, 2024 to Mar 18, 2025
- Accounts · 9 to 11Nov 2, 2023 to Mar 19, 2024
- Advisory employees · 21 to 27Nov 2, 2023 to Mar 19, 2024
- Pooled vehicle clients · 9 to 11Nov 2, 2023 to Mar 19, 2024
- Employees · 24 to 32Nov 2, 2023 to Mar 19, 2024
- Private funds · 9 to 11Nov 2, 2023 to Mar 19, 2024
- Discretionary RAUM · $3.8B to $4.0BNov 2, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $3.8B to $4.0BNov 2, 2023 to Mar 19, 2024
- RAUM · $3.8B to $4.0BNov 2, 2023 to Mar 19, 2024
- Related adviser · true to falseNov 2, 2023 to Mar 19, 2024
- Other offices · 3 to 2Mar 27, 2023 to Nov 2, 2023
- Accounts · 6 to 9Jan 5, 2023 to Mar 24, 2023
- Pooled vehicle clients · 7 to 9Jan 5, 2023 to Mar 24, 2023
- Private funds · 7 to 9Jan 5, 2023 to Mar 24, 2023
- Discretionary RAUM · $2.6B to $3.8BJan 5, 2023 to Mar 24, 2023
- Pooled vehicle RAUM · $2.6B to $3.8BJan 5, 2023 to Mar 24, 2023
- RAUM · $2.6B to $3.8BJan 5, 2023 to Mar 24, 2023
- Accounts · 5 to 6Nov 2, 2021 to Mar 25, 2022
- Advisory employees · 17 to 21Nov 2, 2021 to Mar 25, 2022
- Pooled vehicle clients · 5 to 7Nov 2, 2021 to Mar 25, 2022
- Employees · 19 to 24Nov 2, 2021 to Mar 25, 2022
- Private funds · 5 to 7Nov 2, 2021 to Mar 25, 2022
- Discretionary RAUM · $2.2B to $2.6BNov 2, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $2.2B to $2.6BNov 2, 2021 to Mar 25, 2022
Signals
5 dated events
- Rubicon Technology Management L.L.C. reported RAUM $3.8B, up 46% from $2.6B (2023-01-05 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
- Rubicon Technology Management L.L.C. reported RAUM $2.2B, up 146% from $891.7M (2020-03-30 to 2021-03-27)Mar 27, 2021 · RAUM change · derived
- Jason Winsten (Partner, Managing Member) appeared on Schedule A of Rubicon Technology Management L.L.C.Mar 27, 2021 · Control person joined · fact
- Lehn Jonathan Franke (Chief Compliance Officer, Chief Financial Officer) appeared on Schedule A of Rubicon Technology Management L.L.C.Mar 30, 2020 · Control person joined · fact
- Rubicon Technology Management L.L.C. filed its initial SEC registration (Form ADV)May 19, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Rubicon Technology Management L.L.C. · Independent Sponsorsshared crd · capital_provider
- Rubicon Technology Management L.L.C. · Private Equityshared crd · organization
- Rubicon Technology Management L.L.C. · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/rubicon-technology-partnersreportedpublic record, Form ADV, Sep 17, 2026
- Website
- RUBICONTP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (303) 872-6950reportedpublic record, Form ADV, Mar 19, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026