9AT: RUBICON TECHNOLOGY MANAGEMENT L.L.C.

other names

RUBICON TECHNOLOGY MANAGEMENT L.L.C.
RUBICON TECHNOLOGY PARTNERS GP L.L.C. (RELYING ADVISOR)

Adviser Profile

As of Date	03/19/2026
ADV Location	BOULDER, CO, United States
Adviser Type - Large advisory firm
Number of Employees	37 16%
of those in investment advisory functions	29 7%
Registration	SEC, Approved, 06/03/2015
Other registrations (1)	SEC, ERA - Withdrawn, 05/19/2015

AUM^*	4,841,120,373 22%
of that, discretionary	4,841,120,373 22%
Private Fund GAV^*	3,701,517,153 20%
Avg Account Size	322,741,358 -11%
SMA’s	No
Private Funds	19 8
Contact Info	(30 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Fund Type	Count	GAV
Fund TypePrivate Equity Fund	Count19	GAV$3,701,517,153

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 PROTERRA INVESTMENT PARTNERS LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund2.5b	Real Estate Fund2.9m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund200.0m	Total Private Fund GAV2.7b	AUM3.6b	#Funds33
Adviser FIRST SENTIER INVESTORS	Hedge Fund7.4b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV7.4b	AUM4.5b	#Funds2
Adviser GALLATIN POINT CAPITAL LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund4.9b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV4.9b	AUM5.2b	#Funds66
Adviser STARR PRIVATE EQUITY PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund3.8b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV3.8b	AUM4.6b	#Funds20
Adviser AMERICANA PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund223.5m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund60.0m	Total Private Fund GAV283.5m	AUM9.1b	#Funds12
Adviser BECKER CAPITAL MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund18.1m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV18.1m	AUM5.0b	#Funds1
Adviser THE CATALYST CAPITAL GROUP INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund2.4b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.4b	AUM2.4b	#Funds6
Adviser TPG SOLUTIONS ADVISORS	Hedge Fund1.4b	Liquidity Fund-	Private Equity Fund10.2b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV11.6b	AUM11.6b	#Funds43
Adviser BBAM US LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund7.5b	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV7.5b	AUM4.5b	#Funds38
Adviser EVERGREEN CAPITAL MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund400.2m	Real Estate Fund39.6m	Securitized Asset Fund-	Venture Capital Fund-	Other Fund40.0m	Total Private Fund GAV479.8m	AUM7.2b	#Funds13

Brochure Summary

Overview

A. RUBICON is a private investment firm that focuses primarily on investing in mature lower mid- market technology companies. The Firm was established in 2012 with its principal office in Boulder, Colorado and other offices in Palo Alto, California, and New Haven, Connecticut. RUBICON serves as an investment adviser to pooled investment vehicles (the “Funds” or “Clients,” and each a “Fund” or “Client”) that are exempt from registration under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Firm’s principal owners are John Hodge, Jason Winsten, and Steve Carpenter who are managing members. Andrew Gesell is an additional non-owner managing member. B. RUBICON provides investment advisory services solely to the Funds with respect to the identification, acquisition, management and disposition of, primarily, mature lower mid- market enterprise software companies pursuant to management agreements between RUBICON, the Funds and the general partner entities of each Fund (the “GP Entity” or “GP Entities”). From time to time

the Firm forms and manages, on a transaction-by-transaction basis, special purpose vehicles to participate in investment opportunities, often alongside the Funds. All of the vehicles described in this paragraph are referred to herein as “SPVs.” Unlike the Funds which do not limit the Firm’s investment discretion, RUBICON is often limited to investing only in the securities relating to the particular transaction for which the SPV was organized. C. Each Fund and SPV has a specific investment focus. The offering materials and governing documents of each Fund and SPV set forth these specific guidelines and restrictions, which include, among other things, limits on the size, concentration, geography and type of security of the Fund’s underlying portfolio investments. Investors in such Fund (the “Investors”) do not have the ability to impose specific investment objectives or restrictions on such Fund. D. The Firm does not participate in wrap fee programs. E. As of December 31, 2023, RUBICON managed $3,978,022,464 in Clients’ assets on a discretionary basis and $0 on a non-discretionary basis.

RUBICON TECHNOLOGY MANAGEMENT L.L.C.

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