DFX Intelligence

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C•••••••• A••••••••• I••••••••• L••

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

Buyout firm, running GROWTH EQUITY, INFRASTRUCTURE, based in New York, NY.

Composed from this firm's filed classification and location. It has no published description on record.

As of 2026-09-17 · identity and classification; each section below carries its own date

Regulatory AUM: $127M
PE fund assets: $177M
PE funds: 3
Investments held: Not established
Deals, last 12 months: Not established

Funds and vehicles Team (2)Transactions

As of 2026-09-17 · identity and classification; each section below carries its own date

Why this matters

Also held on 4 other DFX graphs, so its behaviour can be read from more than one side.
Graphs 4
Reported $127M of regulatory assets at its last Form ADV filing.
2026-06-17
RAUM $127M

Classification

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

Class: Buyout firmconfirmed, confidence 85%
Basis: R6: 32 of 63 distinct vehicles are sworn Private Equity Funds; 7 reported gross assets on a filing in 2022 or later
Size band: Lower middle marketdefined by: proxy: $0.18bn Private Equity Fund GAV on the Form ADV filed 2024-03-27
Strategies: GROWTH EQUITY, INFRASTRUCTURE

Classification history (1)

Sep 13, 2026
Buyout firm (confirmed, 85%, cls-pe-1)
R6: 32 of 63 distinct vehicles are sworn Private Equity Funds; 7 reported gross assets on a filing in 2022 or later

Regulatory footprint (Form ADV)

Adviser type: registered investment adviser
Form ADV filings: Apr 2, 2012 to Jun 17, 2026
RAUM: $127Mregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 3
PE fund GAV, latest filing: $177Mreported gross assets (Form ADV), not fund size
All private fund GAV: $123Mevery private fund type, latest filing
2024 PE fund GAV: $177Msum over funds typed Private Equity Fund with a 2024 or later as-of date
PE share of funds, lifetime: 51%
Fund type mix: filed 2024-03-27, latest gav Real Estate Fund $23.1M, Private Equity Fund $177M, latest counts Real Estate Fund 4, Private Equity Fund 4, lifetime distinct Hedge Fund 21, Real Estate Fund 4, Other Private Fund 6, Private Equity Fund 32
Employees: 15
Headquarters: New York, NY
Office address: ••• Locked
Business phone: ••• Locked

Stated criteria beside observed behaviour

no observed deals yet

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: not stated or not yet read
Control: not stated or not yet read
Thesis: not stated or not yet read

Observed from deals on record

Nothing observed yet. Behaviour is computed from transactions and portfolio relationships, which have not been collected for this firm.

Funds

21 on record, 16 more on the reporting tape

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	Form D sold	Lifecycle
C•••••••• C•••••• P••••••• I• E••••••• M••••• F•••• L••• ADV: Private Equity Fund	Buyout fund	2019 first reported on Form ADV	$18.5M as of Jan 2, 2022	no Form D	Wound down
C•••••••• V•••••• C•••••• I••••••••• G••••• P••••••••• ••••••••• I•• L••• ADV: Private Equity Fund	Growth fund	2018 first reported on Form ADV	$202M as of Jan 2, 2022	no Form D	Wound down
I•••• I••••••••• O••••••••• L••• ADV: Private Equity Fund	Infrastructure fund	2014 first reported on Form ADV	$33.6M as of Mar 27, 2024	no Form D	Harvest
D•••• S••••• C•• I•• L••• ADV: Other Private Fund	Credit fund	unknown	$669M as of Feb 22, 2013	no Form D	Wound down
D•••• S••••• C•• I••• L••• ADV: Other Private Fund	Credit fund	unknown	$510M as of Feb 22, 2013	no Form D	Wound down
R•••••• F•••••• L••• ADV: Other Private Fund	SPV	unknown	$484M as of Feb 22, 2013	no Form D	Wound down
D•••• S••••• C•• I•• L••• ADV: Other Private Fund	Credit fund	unknown	$374M as of Feb 22, 2013	no Form D	Wound down
D•••• S••••• C•• I• L••• ADV: Other Private Fund	Credit fund	unknown	$303M as of Feb 22, 2013	no Form D	Wound down
C••••• I• C••••••••• L••• ADV: Private Equity Fund	Co-investment vehicle	unknown	$180M as of Aug 20, 2013	no Form D	Unknown
A••• E••••••••• I•• O••••••• L••• ADV: Private Equity Fund	Feeder or parallel	unknown	$94.1M as of Mar 27, 2024	no Form D	Mature
A••• E••••••••• I•• O•••••• L••• ADV: Private Equity Fund	buyout or unlabelled	unknown	$49.5M as of Mar 27, 2024	no Form D	Mature
C•••••••• V•••••• C•••••• I••••••••• ••••••••• L••• ADV: Private Equity Fund	Co-investment vehicle	unknown	$31.9M as of Aug 20, 2013	no Form D	Unknown
C••••• I• T•••• L••• ADV: Private Equity Fund	buyout or unlabelled	unknown	$31.5M as of Aug 20, 2013	no Form D	Unknown
C•• C••••••••• ••••••••• C••••• L••• ADV: Private Equity Fund	Co-investment vehicle	unknown	$15.2M as of Jan 2, 2022	no Form D	Wound down
H••••••• G••••• L•• ADV: Private Equity Fund	Growth fund	unknown	$9.7M as of Aug 20, 2013	no Form D	Unknown
E••• S•••••• P•••••• V•••••• ADV: Other Private Fund	SPV	unknown	$7.7M as of Feb 22, 2013	no Form D	Wound down
C•• C••••••••• ••••••••• L•• ADV: Private Equity Fund	Co-investment vehicle	unknown	$124,170 as of Mar 27, 2024	no Form D	Unknown
C••••••••• L•• X••• •••••• M•••••• ADV: Private Equity Fund	Co-investment vehicle	unknown	$0 as of Aug 8, 2016	no Form D	Wound down
C•• C••••••••• •••••• G••••••• L•• ADV: Private Equity Fund	Co-investment vehicle	unknown	$0 as of Mar 30, 2015	no Form D	Unknown
C••••••••• L•• X• •••••• ADV: Private Equity Fund	Co-investment vehicle	unknown	$0 as of Aug 8, 2016	no Form D	Wound down
C•• C••••••••• •••••• G••••••• C••••• L••• ADV: Private Equity Fund	Co-investment vehicle	unknown	$0 as of Mar 30, 2015	no Form D	Unknown

Gross assets by year from the annual reporting tape

These funds appear in this adviser’s Form ADV reporting. One row per fund per year (the latest filing of that year). Values are reported gross assets, not fund size.

Fund	Type (ADV)	Years	Latest reported GAV	Source
C•••••••• V•••••• C•••••• I••••••••• G••••• P••••••••• I•• L•••	Hedge Fund	2012 to 2012	$2.4B filed Aug 8, 2012	adviserinfo.sec.gov
C•••••••• V•••••• C•••••• I••••••••• G••••• P••••••••• L•••	Private Equity Fund	2012 to 2012	$664M filed Aug 8, 2012	adviserinfo.sec.gov
C•• U• W••••• L•	Private Equity Fund	2012 to 2014	$316M filed Jul 7, 2014	adviserinfo.sec.gov
C•• U• W•••• I•• L•••	Private Equity Fund	2012 to 2014	$295M filed Jul 7, 2014	adviserinfo.sec.gov
C•• U••• T•••• N•• 2•	Private Equity Fund	2012 to 2014	$281M filed Jul 7, 2014	adviserinfo.sec.gov
O•• L••• I•••• O••••••••• F••• T• L•••	Private Equity Fund	2012 to 2012	$221M filed Aug 8, 2012	adviserinfo.sec.gov
O•• L••• I•••• O••••••••• F••• N•• L•••	Private Equity Fund	2012 to 2012	$215M filed Aug 8, 2012	adviserinfo.sec.gov
M•••••••• C•••••• P••••••• I•• L•••	Private Equity Fund	2012 to 2012	$88.3M filed Aug 8, 2012	adviserinfo.sec.gov
M•• I• ••••••••• L•••	Private Equity Fund	2012 to 2012	$88.3M filed Aug 8, 2012	adviserinfo.sec.gov
M•• T• I• ••••••••• L•••	Private Equity Fund	2012 to 2012	$78.3M filed Aug 8, 2012	adviserinfo.sec.gov
M•••••••• C•••••• P••••••• T• I•• L•••	Private Equity Fund	2012 to 2012	$78.3M filed Aug 8, 2012	adviserinfo.sec.gov
M•••••••• C•••••• P••••••• C••••• I•• L•••	Private Equity Fund	2012 to 2012	$53.8M filed Aug 8, 2012	adviserinfo.sec.gov
M•• I• ••• A••• L•••	Private Equity Fund	2012 to 2012	$38.1M filed Aug 8, 2012	adviserinfo.sec.gov
M•• I• ••••••• A••• L•••	Private Equity Fund	2012 to 2012	$27.6M filed Aug 8, 2012	adviserinfo.sec.gov
M•••••••• N•• H••••••• L••	Private Equity Fund	2012 to 2012	$18.5M filed Aug 8, 2012	adviserinfo.sec.gov
M•••••••• C•••••• P••••••• I• E•••••••• F•••• L•••	Private Equity Fund	2012 to 2012	$16.0M filed Aug 8, 2012	adviserinfo.sec.gov

Team

2 current, 8 former

Platform (2)

C•••• B•••••• · G•••••• Counsel · since Feb 1, 2010 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
S•••• P•••• S••••••••• · Chief Compliance Officer · since Oct 1, 2011 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

8 former (kept with end dates)

J•••• M•••••• O••••• · Co- Ceo · Nov 1, 2007 to Mar 28, 2013 Inference
J••• P••• H••••• · Chairman · Mar 1, 2008 to Mar 28, 2013 Inference
J••••••• L•••• D•••••• · Co- Ceo; Chief Investment Offcier · Nov 1, 2007 to Mar 28, 2013 Inference
P••••• J••••• D•••• · President · Mar 1, 2013 to Aug 8, 2016 Inference
P•••••• V••••••••• · President · Dec 1, 2016 to Aug 2, 2017 Inference
R••••• C• G•••• · Manager · Mar 1, 2013 to Mar 31, 2014 Inference
M•••••• R••••• W••••••• · Chief Operating Officer · Apr 1, 2009 to Mar 28, 2013 Inference
W•••••• J• H••••• · Treasurer · Mar 1, 2013 to Dec 18, 2013 Inference

Portfolio

0 relationships, 0 platforms, 0 add-ons

No portfolio relationship collected for this firm yet. They arrive from the firm’s portfolio page, deal announcements and filings.

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

2 most recent

Jun 17, 2026
••• Locked
Pe fund count changedFactSEC Form ADV monthly roster (registered + exempt reporting advisers)
Apr 2, 2012
••• 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

Freshness97 · HIGH: as of: 2026-09-23items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":0.9666666666666667,"evidence":"6 method: sum of component points, capped at 1.0
model score-pe-1
Research priority58 · ELEVATED: 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 appetite0 · LOW: as of: 2026-09-23items: []method: sum of component points, capped at 1.0
missing: no transactions on the graph for this firm yet
model score-pe-1
Profile completeness33 · MODERATE: as of: 2026-09-23items: [{"code":"FIELDS_PRESENT","points":0.3333333333333333,"evidence":["website","funmethod: sum of component points, capped at 1.0
missing: description, partners, portfolio, transactions, stated criteria, 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: 5 days ago
Observations: 24
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•••••••• A••••••••• I••••••••• L•• is the same institution as 4 records in Independent Sponsors, RIA and Wealth, Private Credit and Real Estate Funds.

Independent Sponsors1RIA and Wealth1Private Credit1Real 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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