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| Lateral Investment Management LLC
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|---|---|
| CRD # | 159649 |
| SEC # | 801-112357 |
| CIK # | 0001665167 |
| AUM | 1,003.9 M (2026-06-26) |
| Employees | 24 (54% Investors, 0% Brokers) |
| Phone | 650-396-2200 |
| Address | 250 California Drive Burlingame, CA 94010 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
| Total AUM ($M) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| PE | AFC SPV LP | 2026-03-31 | 19.7 M | |
| PE | LMG Partners II LP | [2026-03-31] | 3.7 M | |
| PE | Panther Growth Fund II LP | [2025-03-29] | 70.6 M | 213.6 M |
| Offered $250,000,000 · Filed 2025-03-26 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $179,407,000 · Duration More than one year · Net Assets Decline to Disclose | ||||
| PE | PG Fund II SC LP | [2025-03-29] | 29.0 M | 20.1 M |
| Offered $50,000,000 · Filed 2025-03-26 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $20,983,000 · Duration More than one year · Revenue Decline to Disclose | ||||
| Other | LMG Partners LP | 2024-03-30 | 89.1 M | |
| PE | Panther Plus Growth Fund II LP | [2024-03-30] | 7.6 M | |
| Offered $20,000,000 · Filed 2023-07-26 (D) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $50,000 · Remaining $20,000,000 · Duration One year or less · Commission $1,800,000 · Net Assets Decline to Disclose | ||||
| PE | PMG Legal LLC | [2024-03-30] | 0.8 M | 28.0 M |
| Offered $25,000,000 · Filed 2023-09-05 (D) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $200,000 · Remaining $24,150,000 · Duration One year or less · Commission $1,125,000 · Net Assets Decline to Disclose | ||||
| Other | Lateral FC SPV Feeder LLC | 2023-03-31 | 6.5 M | |
| PE | LMG Feeder LLC | 2023-03-31 | ||
| Other | Panther Plus Income Fund LP | [2023-03-31] | 15.3 M | |
| Offered $10,000,000 · Filed 2022-04-07 (D) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $50,000 · Remaining $10,000,000 · Duration One year or less · Commission $900,000 · Net Assets Decline to Disclose | ||||
| Other | Niagara Plus Income Fund LP | [2021-03-31] | 4.8 M | 0.5 M |
| Offered $40,000,000 · Filed 2022-05-19 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $100,000 · Remaining $35,173,000 · Duration More than one year · Commission $4,000,000 · Net Assets Decline to Disclose | ||||
| Other | Lateral BVM Feeder LLC | 2019-03-29 | 9.7 M | |
| Other | Lateral Concord Feeder LLC | 2019-03-29 | 0.4 M | |
| Other | Lateral FTE Feeder LLC | 2019-03-29 | ||
| Other | Lateral SMC Feeder LLC | 2019-03-29 | 2.5 M | |
| Other | Lateral UMF Feeder LLC | 2019-03-29 | 0.0 M | |
| Other | Lateral US Credit Opportunities Fund AI LP | [2017-12-22] | 6.2 M | 8.9 M |
| Filed 2019-06-21 (D) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Revenue Decline to Disclose | ||||
| Other | Lateral US Credit Opportunities Fund QP LP | [2017-12-22] | 140.3 M | 256.0 M |
| Filed 2019-06-21 (D) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Revenue Decline to Disclose | ||||
| Other | Niagara Credit Income Fund AI LP | 2017-12-22 | 88.2 M | |
| Other | Niagara Credit Income Fund QP LP | 2017-12-22 | 241.1 M | |
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 23 | 1,003.9 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 23 | 1,003.9 |
| By Discretionary | ||
| Discretionary | 14 | 846.9 |
| Non-Discretionary | 9 | 157.0 |
| Total | 23 | 1,003.9 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 1,003.9 | |
| Total | 23 | 1,003.9 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Richard de Silva | Executive Officer, Promoter | 20 | 2 | |
| Lateral Investment Management LLC | Executive Officer, Promoter | 16 | 2 | |
| Kenneth Masters | Executive Officer | 7 | 2 | |
| Marie Claire Hickey | Director | 4 | 2 | |
| Panther Plus Advisors LLC | Promoter | 4 | 2 | |
| Patrick Feeney | Director | 4 | 2 | |
| Margret Hardardottir | Director | 4 | 2 | |
| Lateral Credit Opportunities LLC | Executive Officer | 3 | 2 | |
| Niagara Plus Advisors LLC | Promoter | 2 | 2 | |
| Margaret Hardardottir | Director | 2 | 1 | |
| View All | ||||
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 3 | [0001665167] | |
| 4 | [0001665167] | |
| SC 13D | [0001665167] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| Lateral Global Investors LLC | FTE Networks Inc | [2017-05-15] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.2B |
| Serves | Institutional |
| Fund Types | Private Equity |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
Beacon Enterprise Solutions Group Inc FTNW
Common Stock
|
2019-07-02 | Other | 1,500,000 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Common Stock
|
2019-07-02 | Other | 505,724 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Common Stock
|
2019-02-20 | Other | 1,005,753 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Common Stock
|
2019-02-12 | Grant | 268,942 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Common Stock
|
2019-02-12 | Grant | 1,429,638 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Warrant (right to buy) · derivative
|
2018-10-30 | Other | 108,000 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Warrant (right to buy) · derivative
|
2018-10-30 | Other | 93,560 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Warrant (right to buy) · derivative
|
2018-10-30 | Option exercise | 93,560 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Common Stock
|
2018-10-30 | Option exercise | 93,560 | $6.00 | 561,360 |
|
Beacon Enterprise Solutions Group Inc FTNW
Warrant (right to buy) · derivative
|
2018-07-02 | Other | 3,173,730 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Contractual right to receive Common Stock · derivative
|
2017-12-04 | Other | 135,986 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Common Stock
|
2017-12-04 | Other | 350,538 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Common Stock
|
2017-12-04 | Other | 350,538 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Contractual right to receive Common Stock · derivative
|
2017-12-04 | Other | 135,986 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Warrant (right to buy) · derivative
|
2017-11-03 | Other | 20,000 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Warrant (right to buy) · derivative
|
2017-10-17 | Other | 140,000 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Common Stock
|
2017-05-08 | Other | 26,215,409 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Common Stock
|
2017-04-07 | Other | 1,978,068 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Warrant (right to buy) · derivative
|
2017-03-29 | Other | 3,750,000 | ||
|
Beacon Enterprise Solutions Group Inc FTNW
Common Stock
|
2017-03-03 | Other | 6,420,020 | ||
| showing 20 of 23 most recent transactions | |||||
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Palm Beach Capital Management III LLC
✚
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FL | 998.8 M |