DFX Intelligence
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Sponsor research record
U•••••• I••••••••• L•• ••••••••
CTUnverified filing group, research onlyIndependent sponsor
Latest vehicle Jun 27, 2022
4 vehicles · 17 principals · 22 observations
Mandate updated Sep 13, 2026
Unverified filing group, research only. A group of SEC Form D vehicles joined by shared principals or a shared address. No evidence yet identifies the firm behind it, so it is never shown beside a company as a sponsor. It is listed only under research on the sponsor directory.
Why this kind
- for: 3 single-deal acquisition vehicles
- for: deal vehicles with no pooled fund and no ADV registration
- for: 4 principals recur across the vehicles
before the classifier: Independent sponsor
What they claim, and what they have done
Observed
- 0 platform or control deals
- 0 add-ons bought by its portfolio companies
- 0 recapitalizations, 0 minority stakes
Claimed on its own website
No buy criteria were read from its website.
What the filings and deals add up to
- Sectors
- none observedFactForm D industry group of 4 vehicles· 80%· Federal regulator filings
- Geography
- CT (4) · NortheastFactstate of organisation / filing address of vehicles· 80%· Federal regulator filings
- Equity raised per vehicle
- $29.9M to $53.5M (median $34.1M, n=4)FactTOTALAMOUNTSOLD on each vehicle's Form D; a proxy for the equity check the sponsor raises per deal, not enterprise value· 80%· Federal regulator filings
- Control preference
- 75% of 4 vehicles flagged business combinationsInferenceshare of vehicles whose Form D flags a business combination· 73%· Federal regulator filings
- Security types
- Equity: 4Factsecurity types sold on the vehicles' Form Ds· 80%· Federal regulator filings
- Activity
- 4 vehicles, first 2021-07-14, latest 2022-06-27, 0 in the last 12 monthsFactForm D filing dates· 95%· Federal regulator filings
- Principal count
- 16Factrelated persons across the vehicles· 90%· Federal regulator filings
How do we know
Not verified as a sponsor firm. A group of SEC Form D vehicles joined by shared principals or a shared address. No evidence yet identifies the firm behind it, so it is never shown beside a company as a sponsor.
4 acquisition or co-investment vehicles filed on SEC Form D were joined to this record by shared executive officers or promoters, or by a shared filing address. Every edge below carries the evidence that produced it.
Nothing on this page comes from a website claim unless it is labelled as such with the URL.
Who has financed themWhat these counts meanCounts are the financings DFX has read in announcements. Most come from lenders' own deal archives, which list a lender's repeat deals with a sponsor but not the sponsor's deals with other lenders, so a repeat relationship shows where one lender publishes and is not a rate at which sponsors return to a lender. Counts undercount and record past financing; DFX does not predict who will finance a deal.
No capital provider has been observed financing this sponsor in an announcement yet.
Who finances deals like theirsHow this is rankedRanked by deals read in these sectors, not by fit: this is the capital that shows up in announcements around firms like this one, which is a place to start a list and not a prediction about who will finance the next deal.
No deal of this firm is on a company DFX could classify by sector, so there is nothing to compare it against.
What have they done
| Vehicle | Linked by | Conf. |
|---|---|---|
| U••••••• I••••••••• L•• | Shared principal, Shared address, Shared name stem | 95% |
| U•••••• I••••••••• L•• | Shared principal, Shared address, Shared name stem | 95% |
| D• L•••••••• H••••••• L•• | Shared principal, Shared address, Shared name stem | 95% |
| P• T•• H••••••• L•• | Shared principal, Shared address, Shared name stem | 95% |
What appears to be their current activity
No vehicle filed in the last 12 months; latest filing Jun 27, 2022, first observed 2021-07-14.
Principals on the filings
- K•••• A• D••••••••Executive Officer
- C••• S• C••••Executive Officer/Director
- E••••• A• S••••Director
- C•••• A• M•••••Executive Officer/Director
- C•••••• A• H•••••Director
- K•• A• J••••••Director
- W•••••• S• O••••• J••Director/Executive Officer/Executive Officer/Director
- J•• F• L•••••••Executive Officer
- C••• C••••Executive Officer
- K•••• G• D••••••••Executive Officer
- U•••• C•••••• E••••• P••••••• I••• L•••Director
- U•••• C•••••• E••••• P••••••• I•• G•• L•••Director
- D•••• S• D••••Executive Officer/Director
- M•••••• L• M•••••Executive Officer/Director
- R••• L• A•••••Executive Officer/Director
- W•••••• S• O••••• J••Director/Executive Officer/Director
- W•••••• O••••Executive Officer
Identity linksWhat an identity link isEntities that may be this sponsor under another name, each with the confidence and the signals behind it. A link is not a merge: nothing on this page is borrowed from a linked entity.
- S•••••• g•••• l•• b• W•••••• S• O••••• J•• a•• C••• C••••Possibly same sponsorInferenceconfidence 60%
Evidence
| Fact | Value | Class | Source |
|---|---|---|---|
| Entity kind | Independent sponsor firm | Inference | DFX model output (scores, estimates, matches) no URL |
| Entity kind | Independent sponsor firm | Inference | DFX model output (scores, estimates, matches) no URL |
| Entity kind | Independent sponsor firm | Inference | DFX model output (scores, estimates, matches) no URL |
| Entity kind | Independent sponsor firm | Inference | DFX model output (scores, estimates, matches) no URL |
| Entity kind | Independent sponsor firm | Inference | DFX model output (scores, estimates, matches) no URL |
| Mandate | ••• Locked | Inference | DFX model output (scores, estimates, matches) no URL |
| Mandate | ••• Locked | Inference | DFX model output (scores, estimates, matches) no URL |
| Mandate | ••• Locked | Inference | DFX model output (scores, estimates, matches) no URL |
| Mandate | ••• Locked | Inference | DFX model output (scores, estimates, matches) no URL |
| Sponsor classification | Independent sponsor | Inference | DFX model output (scores, estimates, matches) no URL |
| Sponsor classification | Independent sponsor | Inference | DFX model output (scores, estimates, matches) no URL |
| Sponsor classification | Independent sponsor | Inference | DFX model output (scores, estimates, matches) no URL |
10 further observations are on the record behind these, each with its own source and date. Ask and we will send the lot.