Investments
52Portfolio Exits
21Funds
5Partners & Customers
9Expert Collections containing William Blair & Company
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Latest William Blair & Company News
Nov 21, 2023
Apartfrom the financial penalties, the firms have agreed to cease and desist fromfuture violations, received censures, and committed to implementingimprovements in their compliance policies and procedures. They will also retainindependent compliance consultants to conduct comprehensive reviews of theirpolicies and procedures related to the retention of electronic communicationson personal devices. The Commodity Futures Trading Commission also announcedsettlements with InteractiveBrokers for related conduct. SEC Highlights Broker-DealersFalling Behind in AML Program Revisions In an earlier report, Finance Magnates noted that the SECissued a warning to broker-dealers , urging them to enhance their anti-moneylaundering (AML) policies and procedures, specifically emphasizing duediligence when opening new customer accounts. The regulator highlightedconcerns about inadequate resources, including staff allocation, devoted to AMLcompliance programs by some broker-dealers. The SEC outlined guidelinesfor broker-dealers, stressing the necessity of implementing and maintaining acomprehensive AML program aligned with the Bank Secrecy Act and itsregulations. Additionally, the regulator noted deficiencies in timely testingof AML controls and updates to AML programs among certain broker-dealers. TheSecurities and Exchange Commission (SEC) has announced charges against fivebroker-dealers, three dually registered broker-dealers and investment advisers,and two affiliated investment advisers for widespread and longstanding failuresto maintain and preserve electronic communications. Off-ChannelCommunications Scandal Thefirms, including Interactive Brokers Corp., Robert W. Baird & Co. Inc.,William Blair & Company LLC, Nuveen Securities LLC, Fifth Third SecuritiesInc., and Perella Weinberg Partners LP, have collectively agreed to pay $79million in penalties. TheSEC's investigations revealed pervasive and longstanding off-channelcommunications at all 10 firms. Employees at these firms communicated throughpersonal text messages about their business activities, violating recordkeepingprovisions of the federal securities laws. Thebroker-dealer and investment adviser firms admitted to their employees sendingand receiving off-channel communications related to recommendations and advicebut failed to maintain or preserve the substantial majority of thesecommunications. Keep Reading Apartfrom the financial penalties, the firms have agreed to cease and desist fromfuture violations, received censures, and committed to implementingimprovements in their compliance policies and procedures. They will also retainindependent compliance consultants to conduct comprehensive reviews of theirpolicies and procedures related to the retention of electronic communicationson personal devices. The Commodity Futures Trading Commission also announcedsettlements with InteractiveBrokers for related conduct. SEC Highlights Broker-DealersFalling Behind in AML Program Revisions In an earlier report, Finance Magnates noted that the SECissued a warning to broker-dealers , urging them to enhance their anti-moneylaundering (AML) policies and procedures, specifically emphasizing duediligence when opening new customer accounts. The regulator highlightedconcerns about inadequate resources, including staff allocation, devoted to AMLcompliance programs by some broker-dealers. The SEC outlined guidelinesfor broker-dealers, stressing the necessity of implementing and maintaining acomprehensive AML program aligned with the Bank Secrecy Act and itsregulations. Additionally, the regulator noted deficiencies in timely testingof AML controls and updates to AML programs among certain broker-dealers. ADVERTISEMENT
William Blair & Company Investments
52 Investments
William Blair & Company has made 52 investments. Their latest investment was in Prime Trust as part of their Series B on June 6, 2022.

William Blair & Company Investments Activity

Date | Round | Company | Amount | New? | Co-Investors | Sources |
---|---|---|---|---|---|---|
6/22/2022 | Series B | Prime Trust | $100M | Yes | 3 | |
10/12/2021 | Series C | Halo Investing | $100M | No | 12 | |
4/19/2019 | Series B | Halo Investing | $12M | Yes | 6 | |
1/17/2017 | Series C | |||||
1/12/2013 | Series A |
Date | 6/22/2022 | 10/12/2021 | 4/19/2019 | 1/17/2017 | 1/12/2013 |
---|---|---|---|---|---|
Round | Series B | Series C | Series B | Series C | Series A |
Company | Prime Trust | Halo Investing | Halo Investing | ||
Amount | $100M | $100M | $12M | ||
New? | Yes | No | Yes | ||
Co-Investors | |||||
Sources | 3 | 12 | 6 |
William Blair & Company Portfolio Exits
21 Portfolio Exits
William Blair & Company has 21 portfolio exits. Their latest portfolio exit was Sagence on November 08, 2022.
Date | Exit | Companies | Valuation Valuations are submitted by companies, mined from state filings or news, provided by VentureSource, or based on a comparables valuation model. | Acquirer | Sources |
---|---|---|---|---|---|
11/8/2022 | Acquired | 2 | |||
8/29/2014 | Acq - Fin | 2 | |||
2/20/2014 | Acquired | 1 | |||
Date | 11/8/2022 | 8/29/2014 | 2/20/2014 | ||
---|---|---|---|---|---|
Exit | Acquired | Acq - Fin | Acquired | ||
Companies | |||||
Valuation | |||||
Acquirer | |||||
Sources | 2 | 2 | 1 |
William Blair & Company Acquisitions
2 Acquisitions
William Blair & Company acquired 2 companies. Their latest acquisition was ICM on February 10, 2021.
Date | Investment Stage | Companies | Valuation Valuations are submitted by companies, mined from state filings or news, provided by VentureSource, or based on a comparables valuation model. | Total Funding | Note | Sources |
---|---|---|---|---|---|---|
2/10/2021 | Acquired | 4 | ||||
9/16/1998 |
Date | 2/10/2021 | 9/16/1998 |
---|---|---|
Investment Stage | ||
Companies | ||
Valuation | ||
Total Funding | ||
Note | Acquired | |
Sources | 4 |
William Blair & Company Fund History
5 Fund Histories
William Blair & Company has 5 funds, including William Blair Mezzanine Capital Fund III LP.
Closing Date | Fund | Fund Type | Status | Amount | Sources |
---|---|---|---|---|---|
12/31/1999 | William Blair Mezzanine Capital Fund III LP | Mezzanine (Third-Party) | Closed | $311M | 1 |
12/31/1997 | William Blair Mezzanine Capital Fund II LP | ||||
12/31/1993 | William Blair Mezzanine Capital Fund, L.P. | ||||
William Blair MB Investments | |||||
MNC FII 2020 SERIES |
Closing Date | 12/31/1999 | 12/31/1997 | 12/31/1993 | ||
---|---|---|---|---|---|
Fund | William Blair Mezzanine Capital Fund III LP | William Blair Mezzanine Capital Fund II LP | William Blair Mezzanine Capital Fund, L.P. | William Blair MB Investments | MNC FII 2020 SERIES |
Fund Type | Mezzanine (Third-Party) | ||||
Status | Closed | ||||
Amount | $311M | ||||
Sources | 1 |
William Blair & Company Partners & Customers
9 Partners and customers
William Blair & Company has 9 strategic partners and customers. William Blair & Company recently partnered with BDA Partners on January 1, 2022.
Date | Type | Business Partner | Country | News Snippet | Sources |
---|---|---|---|---|---|
1/26/2022 | Partner | United States | Divested ELEVATE to LRQA. BDA and William Blair advise EQT on sale of ELEVATE to LRQA - BDA Partners * Includes strategic partnerships with Allier Capital , BDA Partners Ltd. , and Poalim Capital Markets . | 1 | |
8/26/2021 | Vendor | ||||
10/7/2019 | Partner | ||||
7/17/2019 | Partner | ||||
7/17/2019 | Partner |
Date | 1/26/2022 | 8/26/2021 | 10/7/2019 | 7/17/2019 | 7/17/2019 |
---|---|---|---|---|---|
Type | Partner | Vendor | Partner | Partner | Partner |
Business Partner | |||||
Country | United States | ||||
News Snippet | Divested ELEVATE to LRQA. BDA and William Blair advise EQT on sale of ELEVATE to LRQA - BDA Partners * Includes strategic partnerships with Allier Capital , BDA Partners Ltd. , and Poalim Capital Markets . | ||||
Sources | 1 |
William Blair & Company Team
5 Team Members
William Blair & Company has 5 team members, including current Managing Director, Rainer Hepberger.
Name | Work History | Title | Status |
---|---|---|---|
Rainer Hepberger | Managing Director | Current | |
Name | Rainer Hepberger | ||||
---|---|---|---|---|---|
Work History | |||||
Title | Managing Director | ||||
Status | Current |
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