9AT: NEEDHAM & COMPANY, LLC

Adviser Profile

As of Date	03/19/2026
Registration	SEC, Approved, 02/12/2004
ADV Location	NEW YORK, NY, United States
Contact Info	212 xxxxxxx
Websites

AUM^*	0
of that, discretionary
Number of Employees	195 15%
of those in investment advisory functions	57 27%
Private Fund GAV^*	0
SMA’s	No
Private Funds	0

Adviser Type

- Related adviser

Client Types

Advisory Activities

Compensation Arrangments

- Fixed fees (other than subscription fees)
- Commissions

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser INSTITUTIONAL SHAREHOLDER SERVICES INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-
Adviser FTI CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM25.0m	#Funds-
Adviser IFR, MUNICIPAL MARKET DATA	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-
Adviser UMBONO COMMODITY FUND MANAGEMENT, LLC	Hedge Fund4.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV4.2m	AUM-	#Funds1
Adviser ENERGY TRANSITION VENTURES, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-
Adviser MAYBE FINANCE, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-
Adviser ENVISAGE	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.0m	#Funds-
Adviser UPTURN CORPORATION	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-
Adviser STOCK MARK3T	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-
Adviser HADLEY	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-

Brochure Summary

Overview

Needham is a broker-dealer registered with the SEC and a member of the Financial Industry Regulatory Authority (“FINRA”). Needham clears and settles all transactions as a broker-dealer on a fully disclosed basis through Pershing LLC (“Pershing”). Needham is registered with the SEC as an investment adviser solely for the purpose of providing equity research to selected clients for special compensation (“Research Advisory Services”). In this regard, Needham publishes and provides to clients standardized equity research, which does not purport to meet the specific investment objectives or needs of particular individuals or accounts. Needham’s Research Advisory Services focus on emerging growth companies in the health care, technology, telecommunications

and semiconductor industries. Research Advisory Services covers approximately 475 companies in such areas as clean technology, communications, consumer, enterprise infrastructure, health care, industrial and diversified growth, semiconductors and semiconductor equipment and software. Needham was founded in 1985 and has been engaged in the publication of equity research since its inception. Needham is a wholly-owned indirect subsidiary of The Needham Group, Inc. George Needham is the principal shareholder and Chairman of the Board of The Needham Group, Inc. Needham’s principal office and place of business is located in New York, NY. The Firm has branch offices in Boston, MA, San Francisco, CA, Minnetonka, MN, Miami, FL, and Chicago, IL.

NEEDHAM & COMPANY, LLC

NEEDHAM & COMPANY, LLC

NEEDHAM & COMPANY, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

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Brochure Summary

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NEEDHAM & COMPANY, LLC NEEDHAM & COMPANY, LLC NEEDHAM & COMPANY, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

NEEDHAM & COMPANY, LLC

NEEDHAM & COMPANY, LLC

NEEDHAM & COMPANY, INC.