{"url":"https://nivawealth.com/firms/rubicon-technology-management-169875","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/169875","regulatoryAum":4841120373,"crd":"169875","history":[{"filedOn":"2021-03-27","regulatoryAum":2192000227,"clients":5,"employees":19,"offices":4},{"filedOn":"2022-03-25","regulatoryAum":2613203375,"clients":7,"employees":24,"offices":4},{"filedOn":"2023-03-27","regulatoryAum":3804093548,"clients":9,"employees":24,"offices":4},{"filedOn":"2024-03-19","regulatoryAum":3978022464,"clients":11,"employees":32,"offices":3},{"filedOn":"2025-03-18","regulatoryAum":4271203472,"clients":14,"employees":31,"offices":3},{"filedOn":"2026-03-19","regulatoryAum":4841120373,"clients":15,"employees":37,"offices":3}],"secFileNumber":"801-97338","legalName":"Rubicon Technology Management L.L.C.","displayName":"Rubicon Technology Management","slug":"rubicon-technology-management-169875","website":"https://rubicontp.com/","classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/rubicon-technology-partners","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1470 Walnut Street, Suite 400","city":"Boulder","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80302"},"tradeNames":[],"registration":{"secApproved":"3 June 2015","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":37,"advisory":29,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":4841120373,"discretionary":4841120373,"discretionaryAccounts":15,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":33,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":15,"regulatoryAum":4841120373}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Rubicon Technology Management has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jonathan Franke","title":"Chief Compliance Officer, Chief Financial Officer","crd":"2610143"},{"name":"Steve Carpenter","title":"Partner, Managing Member","crd":"6275322"},{"name":"Andrew Gesell","title":"Senior Advisor, Managing Member","crd":"3043102"},{"name":"John Hodge","title":"Partner, Managing Member","crd":"2053384"},{"name":"Jason Winsten","title":"Partner, Managing Member","crd":"5003446"}],"ownership":[{"label":"John Hodge","detail":"Partner, managing member in the 25% to 50% ownership band and a control person, since September 2012."},{"label":"Steve Carpenter","detail":"Partner, managing member in the 25% to 50% ownership band and a control person, since September 2012."},{"label":"Jason Winsten","detail":"Partner, managing member in the 25% to 50% ownership band and a control person, since March 2020."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"400 S El Camino Real","city":"San Mateo"}]},{"state":"Colorado","offices":1,"addresses":[{"street":"1470 Walnut Street, Suite 400","city":"Boulder","headquarters":true}]},{"state":"Connecticut","offices":1,"addresses":[{"street":"1020 Chapel Street","city":"New Haven"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"303-872-6950","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":15},"sources":{"adv1FilingDate":"19 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/169875/PDF/169875.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Rubicon Technology Management have?","answer":"Rubicon Technology Management has 15 clients and manages $4.84 billion for them, as of March 2026. They include 15 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Rubicon Technology Management offer?","answer":"Rubicon Technology Management provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Rubicon Technology Management have?","answer":"Rubicon Technology Management has 0 investment adviser representatives registered with state securities authorities, out of 37 employees, and 29 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Rubicon Technology Management?","answer":"Rubicon Technology Management’s direct owners are John Hodge, Steve Carpenter and Jason Winsten, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Rubicon Technology Management get paid?","answer":"Rubicon Technology Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Rubicon Technology Management?","answer":"Rubicon Technology Management’s main office is at 1470 Walnut Street, Suite 400, Boulder, CO 80302. Its phone number is 303-872-6950. Its website is rubicontp.com.","source":"Form ADV Part 1A, Item 1.F, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}