DFX Intelligence
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N•••••• C•••••• P•••••••• L••
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- Not established
- PE fund assets
- $37.0M
- PE funds
- 2
- Investments held
- 7 of 7
- Deals, last 12 months
- 0
Form ADV
Form ADV
DFX transaction tape
DFX transaction tape
As of · identity and classification; each section below carries its own date
Why this matters
- Equity cheque $20.0M to $75.0MEBITDA from $7.0MRevenue $25.0M to $300MSectors chemicals_materials,packaging,manufacturing,distribution,technologyControl control,majority,minority
Classification
How this organization is classified, and on what basisBuyout firm · 2 in historyShowHide
- Class
- Buyout firmprobable, confidence 80%
- Basis
- own website statement
- Size band
- Lower middle marketdefined by: proxy: $0.04bn Private Equity Fund GAV on the Form ADV filed 2022-03-01
Classification history (2)
- Sep 18, 2026
- Sep 13, 2026Buyout firm (confirmed, 85%, cls-pe-1)R6: 4 of 4 distinct vehicles are sworn Private Equity Funds; 2 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)
- Adviser type
- exempt reporting adviser
- Form ADV filings
- Jul 5, 2012 to Mar 1, 2022
- RAUM
- unknownregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 2
- PE fund GAV, latest filing
- $37.0Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $37.0Mevery private fund type, latest filing
- 2024 PE fund GAV
- unknownsum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 100%
- Fund type mix
- filed 2022-03-01, latest gav Private Equity Fund $37.0M, latest counts Private Equity Fund 2, lifetime distinct Private Equity Fund 4
- Employees
- unknown
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
6 observed deals
Stated by the firm
- Sectors
- chemicals materials, packaging, manufacturing, distribution, technology
- Geography
- not stated or not yet read
- Revenue
- $25.0M to $300M
- EBITDA
- from $7.0M
- Enterprise value
- not stated or not yet read
- Equity check
- $20.0M to $75.0M
- Control
- control,majority,minority
- Thesis
- ••• Locked
Observed from deals on record
- roles
- add on 1, platform 6
- period
- to 2015-02-28, from 2007-10-31, undated holdings 1, dated observations 12
- window
- last 2015-02-28, first 2007-10-31
- control
- control 6, unknown 1
- companies
- 6
- geography
- count 2, share 0.333, value IL, count 1, share 0.167, value SC
- investments
- 7
- seller kinds
- transactions
- 6
- cadence by year
- 2007 platforms 1, 2009 platforms 1, 2011 platforms 1, 2012 add ons 1, 2014 platforms 1, 2015 platforms 1
- platform add on
- add ons 1, platforms 6, add ons per platform 0.17
- sector known for
- 0
- disclosed value usd
- n 0
- sector distribution
- holding period years
- n 0
- repeat counterparties
- subsector distribution
6 companies on the graph (6 transactions); 6 platforms and 1 add-ons; observed 2007 to 2015
Funds
4 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| N•• I••• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $22.0M as of Mar 1, 2022 | no Form D | Mature | |
| N•••••• E••••• F••• I••• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $15.0M as of Mar 1, 2022 | no Form D | Mature | |
| L•• I•• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $15,000 as of Feb 2, 2015 | no Form D | Wound down | |
| L••••••••• E••••• F••• I• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $1,000 as of Mar 2, 2016 | no Form D | Wound down |
Team
9 current, 0 former
Managing partner (8)
- B••• B•••• · Former President and COO · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- B•••• A• S••••• · President · start date unknown Press release wires (PR Newswire, GlobeNewswire, Business Wire public pages and RSS)
- B•••• A•••• S••••• · President · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- B•••• A•••• S••••• · President & Secretary, Sole Member · since Oct 1, 2005 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- G••••• A•• · President & CEO · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- K•••• S• H••••••• · Founder and Former Chairman, President and CEO Pretium P•••••••• · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- M••• S•••••• · Former President & CEO · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- S•••••• D•••• · President & CEO · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Partner (1)
- S••••• E• D••••• · Managing Director · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Portfolio
7 relationships, 6 platforms, 1 add-ons
Transactions
6 on record
| Date | Type | Target | This firm’s role | Source |
|---|---|---|---|---|
| Feb 28, 2015 | Platform acquisition | S••• P•••••••• | Sponsor (confirmed) | n•••••••••.com |
| Jun 2, 2014 | Platform acquisition | S••• P•••••••• | Sponsor (confirmed) | n•••••••••.com |
| May 16, 2012 | Add-on acquisition | I•••••••• G••••• I••• | Sponsor (confirmed) | n•••••••••.com |
| Jan 12, 2011 | Platform acquisition | I•••••••• H•••••••• I••• | Sponsor (confirmed) | n•••••••••.com |
| Dec 21, 2009 | Platform acquisition | Q•••• F••••• I••• | Sponsor (confirmed) | n•••••••••.com |
| Oct 31, 2007 | Platform acquisition | T••••••••• C••••••• I••• | Sponsor (confirmed) | n•••••••••.com |
Placement agents, lenders, advisers and co-investors
0 relationships
No counterparty collected yet. These are counted from transactions that name both this firm and the other party, and from placement agents on this firm’s funds.
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
16 most recent
- Sep 1, 2026Adviser CRD 164581 is not on the SEC registered or exempt adviser roster of 2026-09-01
- Feb 28, 2015N•••••• Capital Completes Acquisition of S••• P••••••••
- Jun 2, 2014N•••••• Capital Sells Investment in Pretium to Genstar
- Jun 2, 2014N•••••• Capital Sells Investment in Pretium to Genstar
- Jan 6, 2014N•••••• Capital Completes Acquisition of S••• P••••••••
- Dec 1, 2013N•••••• Capital Sells Transilwap to the Jordan Company
- Jul 5, 2012N•••••• C•••••• P•••••••• L•• first filed Form ADV in the extract (ERA)
- May 16, 2012N•••••• Capital Completes New Platform Acquisition of Flexible P•••••••• Converter Interflex
- Apr 1, 2011Pretium P•••••••• Completes $150 Million High Yield Offering
- Jan 12, 2011N•••••• Capital Completes Acquisition of I••••••••
- Jan 12, 2011N•••••• Capital Completes Acquisition of I••••••••
- Oct 31, 2010N•••••• Capital Notes Successful Recapitalization of MacLean Power Systems
- Dec 21, 2009N•••••• Capital Completes Acquisition of Q•••• F••••
- Dec 21, 2009N•••••• Capital Completes Acquisition of Q•••• F••••
- Oct 31, 2007N•••••• Capital Completes New Platform Acquisition of T••••••••• in a Challenging Credit M•••et
- Oct 31, 2007N•••••• Capital Completes New Platform Acquisition of T••••••••• in a Challenging Credit M•••et