DFX Intelligence
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R•••••••• E••••• C•••••••••
Buyout firmClassification probableMiddle marketSEC registered investment adviser· Houston, TXr•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $3.3B
- PE fund assets
- $3.0B
- PE funds
- 4
- Investments held
- 0 of 32
- Deals, last 12 months
- Not established
Form ADV
Form ADV
Form ADV
DFX transaction tape
As of · identity and classification; each section below carries its own date
Why this matters
- Sectors energy,infrastructure,technologyGeography North America,United States
- Graphs 2
- RAUM $3.3B
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
- Middle marketdefined by: proxy: $3.04bn Private Equity Fund GAV on the Form ADV filed 2024-10-08
Classification history (2)
- Sep 15, 2026
- Sep 13, 2026Buyout firm (confirmed, 85%, cls-pe-1)R6: 4 of 4 distinct vehicles are sworn Private Equity Funds; 4 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Mar 30, 2012 to Mar 30, 2026
- RAUM
- $3.3Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 4
- PE fund GAV, latest filing
- $3.0Breported gross assets (Form ADV), not fund size
- All private fund GAV
- $2.4Bevery private fund type, latest filing
- 2024 PE fund GAV
- $3.0Bsum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 100%
- Fund type mix
- filed 2024-10-08, latest gav Private Equity Fund $3.0B, latest counts Private Equity Fund 4, lifetime distinct Private Equity Fund 4
- Employees
- 68
- Headquarters
- Houston, TX
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
32 observed deals
Stated by the firm
- Sectors
- energy, infrastructure, technology
- Geography
- North America, United States
- Revenue
- not stated or not yet read
- EBITDA
- not stated or not yet read
- Enterprise value
- not stated or not yet read
- Equity check
- not stated or not yet read
- Control
- not stated or not yet read
- Thesis
- ••• Locked
Observed from deals on record
- roles
- unknown 32
- period
- to unknown, from unknown, undated holdings 32, dated observations 0
- window
- last unknown, first unknown
- control
- unknown 32
- companies
- 32
- geography
- investments
- 32
- 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 2, share 0.062, value financial services, examples Spruance, Beta
- holding period years
- n 0
- repeat counterparties
- subsector distribution
- count 2, share 0.062, value financial services, examples Spruance, Beta
32 companies on the graph (0 transactions); most in financial services (2); no dated observations
Funds
4 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| R••• F••• I• C••••••• L• ADV: Private Equity Fund | Co-investment vehicle | 2023 first reported on Form ADV | $64.9M as of Oct 8, 2024 | no Form D | Unknown | |
| R•••••••• E••••• O•• • G•• F••• I•• L••• ADV: Private Equity Fund | buyout or unlabelled | 2021 first reported on Form ADV | $672M as of Oct 8, 2024 | no Form D | Unknown | |
| R•••••••• E••••• O•• • G•• F••• I••• L••• ADV: Private Equity Fund | buyout or unlabelled | 2015 first reported on Form ADV | $1.8B as of Oct 8, 2024 | no Form D | Mature | |
| R•••••••• E••••• O•• • G•• F••• I•• L• ADV: Private Equity Fund | buyout or unlabelled | 2014 first reported on Form ADV | $515M as of Oct 8, 2024 | no Form D | Harvest |
Team
8 current, 6 former
Managing partner (1)
- K•••••• W• L••• · President · since Jun 1, 2009 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Partner (2)
- M•••••• E• S•••••• · Executive Chairman & Sr Managing Director; Owner · since Mar 1, 2011 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- S••••• J•••• L•••••• · Managing Director · since Mar 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Vice president (1)
- G••• W••••• · Executive Vice President - Geoscience · since Sep 1, 2024 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (4)
- D••••• V•••••• G••••• · Senior Vice President; G•••ral Counsel & Secretary · since Aug 1, 2000 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- K••••••• P••••••• M••••••• · Executive Vice President And Chief Financial Officer · since Dec 1, 2000 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M•••• E• H••••••• · Vp-Legal & Chief Compliance Officer · since Mar 1, 2007 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- N•••• S••• · Chief Operating Officer · since Jul 1, 2017 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
6 former (kept with end dates)
- R••••• E••••• S•••••• · Chairman Emeritus & Ceo; Owner · Apr 1, 1982 to Mar 29, 2024 Inference
- F•••• E••• L••••••• · Executive Vp Of Legal Affairs · Apr 1, 2010 to Mar 28, 2013 Inference
- M•••• V••••• · Vice President & Assistant Secretary · Oct 1, 2005 to Mar 31, 2017 Inference
- R••••• L••••• G••• · Executive Vice President · Jul 1, 1987 to Mar 31, 2021 Inference
- S•••••• H••• · Executive Vice President Of Exploration · Aug 1, 2018 to Oct 8, 2024 Inference
- W•••••• G••• T•••• · Executive Vice President · Jan 1, 2004 to Mar 29, 2019 Inference
Portfolio
32 relationships, 0 platforms, 0 add-ons
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
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
1 most recent
- Mar 30, 2012••• Locked
Across the graphs
R•••••••• E••••• C••••••••• is the same institution as 2 records in Independent Sponsors and RIA and Wealth.
Independent 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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