DFX Intelligence

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O•• R••• C•••••• M••••••••• L••

Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· New York, NYo•••••••••.com

••• Locked

As of 2026-09-21 · identity and classification; each section below carries its own date

Regulatory AUM: $623M
PE fund assets: $623M
PE funds: 17
Investments held: 15 of 15
Deals, last 12 months: Not established

Funds and vehicles Team (3)Transactions

As of 2026-09-21 · identity and classification; each section below carries its own date

Why this matters

This firm publishes its own acquisition criteria, so a fit test does not have to be inferred from past deals.
Equity cheque $20.0M to $50.0MControl control
Also held on 3 other DFX graphs, so its behaviour can be read from more than one side.
Graphs 3
0 lenders and 3 placement agents appear beside this firm on the record.
Placement agents 3

Classification

How this organization is classified, and on what basisBuyout firm · 1 in historyShow

Class: Buyout firmconfirmed, confidence 85%
Basis: R6: 23 of 23 distinct vehicles are sworn Private Equity Funds; 22 reported gross assets on a filing in 2022 or later
Size band: Lower middle marketdefined by: proxy: $0.62bn Private Equity Fund GAV on the Form ADV filed 2024-03-27

Classification history (1)

Sep 13, 2026
Buyout firm (confirmed, 85%, cls-pe-1)
R6: 23 of 23 distinct vehicles are sworn Private Equity Funds; 22 reported gross assets on a filing in 2022 or later

Regulatory footprint (Form ADV)

Adviser type: registered investment adviser
Form ADV filings: Nov 28, 2016 to Mar 27, 2024
RAUM: $623Mregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 17
PE fund GAV, latest filing: $623Mreported gross assets (Form ADV), not fund size
All private fund GAV: $623Mevery private fund type, latest filing
2024 PE fund GAV: $623Msum over funds typed Private Equity Fund with a 2024 or later as-of date
PE share of funds, lifetime: 100%
Fund type mix: filed 2024-03-27, latest gav Private Equity Fund $623M, latest counts Private Equity Fund 17, lifetime distinct Private Equity Fund 23
Employees: 6
Headquarters: New York, NY
Office address: ••• Locked
Business phone: ••• Locked

Stated criteria beside observed behaviour

15 observed deals

Stated by the firm

Sectors: not stated or not yet read
Geography: not stated or not yet read
Revenue: not stated or not yet read
EBITDA: not stated or not yet read
Enterprise value: not stated or not yet read
Equity check: $20.0M to $50.0M
Control: control
Thesis: ••• Locked

Observed from deals on record

roles: unknown 15
period: to unknown, from unknown, undated holdings 15, dated observations 0
window: last unknown, first unknown
control: unknown 15
companies: 15
geography
investments: 15
seller kinds
transactions: 0
cadence by year
platform add on: add ons 0, platforms 0, add ons per platform unknown
sector known for: 2
disclosed value usd: n 0
sector distribution: count 1, share 0.067, value industrial manufacturing, examples Poth Brewery, count 1, share 0.067, value media telecom, examples Spectrum
holding period years: n 0
repeat counterparties
subsector distribution: count 1, share 0.067, value beverage manufacturing, examples Poth Brewery, count 1, share 0.067, value media telecom, examples Spectrum

15 companies on the graph (0 transactions); most in industrial manufacturing (1); no dated observations

Funds

23 on record

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	Form D sold	Lifecycle
O• Z••• L•• ADV: Private Equity Fund	buyout or unlabelled	2023 first reported on Form ADV	$21.6M as of Mar 27, 2024	no Form D	Unknown
O••• H••••• O••••••• I• L• ADV: Private Equity Fund	Feeder or parallel	2022 first reported on Form ADV	$31.2M as of Mar 27, 2024	no Form D	Unknown
O••• H••••• I• L• ADV: Private Equity Fund	buyout or unlabelled	2022 first reported on Form ADV	$22.6M as of Mar 27, 2024	no Form D	Unknown
O• H••••••••• L•• ADV: Private Equity Fund	buyout or unlabelled	2022 first reported on Form ADV	$16.9M as of Mar 27, 2024	no Form D	Unknown
O• M••••••• L•• ADV: Private Equity Fund	buyout or unlabelled	2022 first reported on Form ADV	$16.2M as of Mar 27, 2024	no Form D	Early deployment
O••• H••••• L• ADV: Private Equity Fund	buyout or unlabelled	2021 first reported on Form ADV	$102M as of Mar 27, 2024	no Form D	Unknown
O••• H••••• O••••••• L• ADV: Private Equity Fund	Feeder or parallel	2021 first reported on Form ADV	$82.1M as of Mar 27, 2024	no Form D	Unknown
O• I••• O•• L•• ADV: Private Equity Fund	buyout or unlabelled	2021 first reported on Form ADV	$56.3M as of Mar 27, 2024	no Form D	Active deployment
O• I••• T•••• L•• ADV: Private Equity Fund	buyout or unlabelled	2021 first reported on Form ADV	$18.4M as of Mar 27, 2024	no Form D	Active deployment
O• I••• T•• L•• ADV: Private Equity Fund	buyout or unlabelled	2021 first reported on Form ADV	$15.7M as of Mar 27, 2024	no Form D	Active deployment
O• G••• O•• L•• ADV: Private Equity Fund	buyout or unlabelled	2021 first reported on Form ADV	$8.2M as of Mar 27, 2024	no Form D	Unknown
J•••••• P••••••• L•• ADV: Private Equity Fund	buyout or unlabelled	2021 first reported on Form ADV	$2.0M as of Sep 21, 2022	no Form D	Wound down
O• G••• T•• L•• ADV: Private Equity Fund	buyout or unlabelled	2021 first reported on Form ADV	$1.8M as of Mar 27, 2024	no Form D	Unknown
O•• R••• L••••••• L•• ADV: Private Equity Fund	Fund of funds	2021 first reported on Form ADV	$1.1M as of Sep 21, 2022	no Form D	Wound down
P•••••• A••••••••• H••••••• L•• ADV: Private Equity Fund	Feeder or parallel	2020 first reported on Form ADV	$129M as of Mar 27, 2024	no Form D	Active deployment
O••• H• L•• ADV: Private Equity Fund	buyout or unlabelled	2020 first reported on Form ADV	$11.4M as of Mar 27, 2024	no Form D	Harvest
O•• R••• S•• 2• L•• ADV: Private Equity Fund	buyout or unlabelled	2020 first reported on Form ADV	$10.4M as of Mar 27, 2024	no Form D	Mature
O•• R••• P••• O• F••• L•• ADV: Private Equity Fund	buyout or unlabelled	2020 first reported on Form ADV	$10.2M as of Mar 27, 2024	no Form D	Mature
O•• R••• L•• L•• ADV: Private Equity Fund	buyout or unlabelled	2020 first reported on Form ADV	$8.1M as of Mar 30, 2020	no Form D	Wound down
O••• T••• L•• ADV: Private Equity Fund	buyout or unlabelled	2020 first reported on Form ADV	$7.4M as of Sep 21, 2022	no Form D	Wound down
T•••••• I•••••••• L•• ADV: Private Equity Fund	buyout or unlabelled	2020 first reported on Form ADV	$829,628 as of May 12, 2023	no Form D	Wound down
O•• R••• S•• 1• L•• ADV: Private Equity Fund	buyout or unlabelled	2020 first reported on Form ADV	$69,819 as of Sep 21, 2022	no Form D	Wound down
O•• R••• C•••••• P••••••• L• ADV: Private Equity Fund	Buyout fund	unknown	$69.0M as of Mar 27, 2024	no Form D	Unknown

Team

3 current, 0 former

Managing partner (2)

G••••• J••••• K••• · Managing Member · since Jun 1, 2016 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
R••••• M••• K••••• · Managing Member · since Jun 1, 2016 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Platform (1)

D•••• S•••• H•••••• · Chief Compliance Officer/Chief Financial Officer · since Dec 1, 2019 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Portfolio

15 relationships, 0 platforms, 0 add-ons

Company	Role	Status	Invested	Held	Partner	Source
A••••••••	Role unknown	active	unknown	unknown	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
E••••• L•••••••• I•••••••• a•• M•••••• R•••••	Role unknown	active	unknown	unknown	unknown	Fact Investment organization websites (team, portfolio, strategy, criteria, news)
G••••••• C•••••• A•••••••• P•••	Role unknown	active	unknown	unknown	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
I••••••••• L••••••••• a•• A•••••••••	Role unknown	active	unknown	unknown	unknown	Fact Investment organization websites (team, portfolio, strategy, criteria, news)
I••• M••••••• H•• S••••••	Role unknown	active	unknown	unknown	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
J•••••••	Role unknown	active	unknown	unknown	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
N•••• A••••••• H••••• 2•	Role unknown	active	unknown	unknown	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
P•••••• P•••	Role unknown	active	unknown	unknown	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
P••• B••••••	Role unknown	active	unknown	unknown	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
S•• J••• O••••• B•••••••	Role unknown	active	unknown	unknown	unknown	Fact Investment organization websites (team, portfolio, strategy, criteria, news)
S••• S••••••	Role unknown	active	unknown	unknown	unknown	Fact Investment organization websites (team, portfolio, strategy, criteria, news)
S•••••••	Role unknown	active	unknown	unknown	unknown	Fact Investment organization websites (team, portfolio, strategy, criteria, news)
T• a•• F••• S••••••• C••••••	Role unknown	active	unknown	unknown	unknown	Fact Investment organization websites (team, portfolio, strategy, criteria, news)
W•••••••••	Role unknown	active	unknown	unknown	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
Z••• H•• S••••••	Role unknown	active	unknown	unknown	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)

Transactions

0 on record

No transaction naming this firm has been collected yet. The deal tape is read from SEC filings and cited announcements.

Placement agents, lenders, advisers and co-investors

3 relationships

Placement agents (3)

S•••••• N••••••• • C••••••• I••••••••• 1 shared · one time · last Jan 1, 2021
O•• C••• S••••••••• L•• 1 shared · one time · last Jan 1, 2016
P••••• A••••••• 1 shared · one time · last Jan 1, 2017

LP commitments

0 disclosed

No LP commitment collected yet. An LP edge needs a public disclosure with a quote, such as a pension plan’s report or an announcement naming the LP.

Events

2 most recent

Jul 24, 2026
O•• R••• C•••••• M••••••••• L••: Private Equity Funds on Form ADV 17 (2024 extract) -> 18 (roster 2026-09-01)
Pe fund count changedFactSEC Form ADV monthly roster (registered + exempt reporting advisers)
Nov 28, 2016
O•• R••• C•••••• M••••••••• L•• first filed Form ADV in the extract (ERA)
First Form ADV filingFactSEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Scores and what they are made of

Freshness100 · HIGH: as of: 2026-09-21items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":1,"evidence":"0 days"}]method: sum of component points, capped at 1.0
model score-pe-1
Research priority47 · MODERATE: as of: 2026-09-21items: [{"code":"SCALE_BAND","points":0.2,"evidence":"LOWER_MIDDLE_MARKET"},{"code":"COmethod: sum of component points, capped at 1.0
model score-pe-1
Investment velocity0 · LOW: as of: 2026-09-21items: []method: sum of component points, capped at 1.0
missing: no dated transactions
model score-pe-1
Acquisition appetite0 · LOW: as of: 2026-09-21items: []method: sum of component points, capped at 1.0
missing: no transactions on the graph for this firm yet
model score-pe-1
Profile completeness67 · ELEVATED: as of: 2026-09-21items: [{"code":"FIELDS_PRESENT","points":0.6666666666666666,"evidence":["website","desmethod: sum of component points, capped at 1.0
missing: transactions, stated criteria, lenders, lps
model score-pe-1
Fund deployment activity70 · ELEVATED: as of: 2026-09-21items: [{"code":"FUNDS_DEPLOYING","points":0.7,"caution":"deployment state is read frommethod: sum of component points, capped at 1.0
model score-pe-1

Across DFX

Independent Sponsor Intelligence (matched on shared crd)
Venture Capital Intelligence (matched on shared crd)

Record

First observed: Sep 13, 2026
Last observed: today
Observations: 39
Sources: 3
Open research tasks: 1

Reading this profile

Reported gross assets are what an adviser told the SEC a fund held on a date. They are not the fund’s size and not dry powder. RAUM is a regulatory measure of the adviser, not capital available to invest.

A section that says nothing has been collected means exactly that: the graph has not read that kind of record for this firm yet.

Across the graphs

O•• R••• C•••••• M••••••••• L•• is the same institution as 3 records in Venture Capital, Independent Sponsors and RIA and Wealth.

Venture Capital1Independent Sponsors1RIA and Wealth1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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