DFX Intelligence

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C•• C•••••• M••••••••• L••

CandidateClassification candidateLower middle marketSEC registered investment adviser· Pasadena, CAc•••••.com

••• Locked

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

Regulatory AUM: $275M
PE fund assets: $5.6M
PE funds: 1
Investments held: 0 of 6
Deals, last 12 months: Not established

Funds and vehicles Team (1)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.
Sectors real_estate,industrials,hospitality_leisure,building_productsGeography United States
Also held on 3 other DFX graphs, so its behaviour can be read from more than one side.
Graphs 3
Reported $275M of regulatory assets at its last Form ADV filing.
2026-03-10
RAUM $275M

Classification

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

Class: Candidatecandidate, confidence 40%
Basis: R7: admitted on 1 Private Equity Fund(s) among 18 vehicles; no rule fired
Size band: Lower middle marketdefined by: proxy: $0.01bn Private Equity Fund GAV on the Form ADV filed 2024-03-22

Classification history (1)

Sep 13, 2026
Candidate (candidate, 40%, cls-pe-1)
R7: admitted on 1 Private Equity Fund(s) among 18 vehicles; no rule fired

Regulatory footprint (Form ADV)

Adviser type: registered investment adviser
Form ADV filings: Aug 2, 2016 to Mar 10, 2026
RAUM: $275Mregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 1
PE fund GAV, latest filing: $5.6Mreported gross assets (Form ADV), not fund size
All private fund GAV: $181Mevery private fund type, latest filing
2024 PE fund GAV: $5.6Msum over funds typed Private Equity Fund with a 2024 or later as-of date
PE share of funds, lifetime: 6%
Fund type mix: filed 2024-03-22, latest gav Real Estate Fund $110M, Private Equity Fund $5.6M, latest counts Real Estate Fund 7, Private Equity Fund 1, lifetime distinct Real Estate Fund 17, Private Equity Fund 1
Employees: 6
Headquarters: Pasadena, CA
Office address: ••• Locked
Business phone: ••• Locked

Stated criteria beside observed behaviour

6 observed deals

Stated by the firm

Sectors: real estate, industrials, hospitality leisure, building products
Geography: 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 6
period: to unknown, from unknown, undated holdings 6, dated observations 0
window: last unknown, first unknown
control: unknown 6
companies: 6
geography
investments: 6
seller kinds
transactions: 0
cadence by year
platform add on: add ons 0, platforms 0, add ons per platform unknown
sector known for: 1
disclosed value usd: n 0
sector distribution: count 1, share 0.167, value transportation logistics, examples “Texas Triangle” Mixed Use
holding period years: n 0
repeat counterparties
subsector distribution: count 1, share 0.167, value warehousing, examples “Texas Triangle” Mixed Use

6 companies on the graph (0 transactions); most in transportation logistics (1); no dated observations

Funds

1 on record

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	GAV by year	Form D sold	Lifecycle
M••• I• I•••••••• L•• ADV: Private Equity Fund	buyout or unlabelled	2018 first reported on Form ADV	$5.6M as of Mar 22, 2024		no Form D	Mature

Team

1 current, 1 former

Partner (1)

S•••• X• · 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)

1 former (kept with end dates)

D••• O••••••• · Chief Compliance Officer · Jun 1, 2016 to Mar 15, 2018 Inference

Portfolio

6 relationships, 0 platforms, 0 add-ons

Company	Role	Status	Invested	Held	Partner	Source
••••• T•••••••• M•••• U••	Role unknown	unknown	unknown	unknown	unknown	Fact Investment organization websites (team, portfolio, strategy, criteria, news)
C•• C•••••• G••••	Role unknown	unknown	unknown	unknown	unknown	Fact Investment organization websites (team, portfolio, strategy, criteria, news)
C•••••••• • 2••• L••••• G•••• L••	Role unknown	unknown	unknown	unknown	unknown	Fact Investment organization websites (team, portfolio, strategy, criteria, news)
L•• A•••••• U•••• I••••• P•••••••	Role unknown	unknown	unknown	unknown	unknown	Fact Investment organization websites (team, portfolio, strategy, criteria, news)
P•••••• P•••• G••••••	Role unknown	unknown	unknown	unknown	unknown	Fact Investment organization websites (team, portfolio, strategy, criteria, news)
R••••••••• I•••••••••	Role unknown	unknown	unknown	unknown	unknown	Fact Investment organization websites (team, portfolio, strategy, criteria, news)

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

Aug 2, 2016
••• Locked
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

Freshness99 · HIGH: as of: 2026-09-23items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":0.9888888888888889,"evidence":"2 method: sum of component points, capped at 1.0
model score-pe-1
Research priority32 · MODERATE: as of: 2026-09-23items: [{"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: 2026-09-23items: []method: sum of component points, capped at 1.0
missing: no dated transactions
model score-pe-1
Acquisition appetite5 · LOW: as of: 2026-09-23items: [{"code":"STATED_CRITERIA_PUBLISHED","points":0.05,"evidence":"••• Locked"}]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: 2026-09-23items: [{"code":"FIELDS_PRESENT","points":0.6666666666666666,"evidence":["website","desmethod: sum of component points, capped at 1.0
missing: transactions, lenders, intermediaries, lps
model score-pe-1
Fund deployment activity0 · LOW: as of: 2026-09-23items: []method: sum of component points, capped at 1.0
model score-pe-1

Across DFX

Independent Sponsor Intelligence (matched on shared crd)

Record

First observed: Sep 13, 2026
Last observed: yesterday
Observations: 32
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

C•• C•••••• M••••••••• L•• is the same institution as 3 records in Independent Sponsors, RIA and Wealth and Real Estate Funds.

Independent Sponsors1RIA and Wealth1Real Estate Funds1

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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