DFX Intelligence

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S••••••• G•••••• L•••

Hybrid managerClassification probableLower middle marketSEC registered investment adviser· New York, NYs•••••••••.com

••• Locked

As of 2026-09-23 · identity and classification; each section below carries its own date

Regulatory AUM: $647M
PE fund assets: $116M
PE funds: 5
Investments held: Not established
Deals, last 12 months: Not established

Funds and vehicles Team (2)Transactions

As of 2026-09-23 · 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 media_telecomControl control
Also held on 3 other DFX graphs, so its behaviour can be read from more than one side.
Graphs 3
0 lenders and 1 placement agents appear beside this firm on the record.
Placement agents 1

Classification

How this organization is classified, and on what basisHybrid manager · 2 in historyShow

Class: Hybrid managerprobable, confidence 65%
Basis: R4: Private Equity Funds are 5 of 36 distinct vehicles; hedge, securitized or liquidity vehicles 31
Size band: Lower middle marketdefined by: proxy: $0.12bn Private Equity Fund GAV on the Form ADV filed 2026-03-30
Strategies: SPECIAL SITUATIONS

Classification history (2)

Sep 23, 2026
Hybrid manager (probable, 65%, cls-pe-2)
R4: Private Equity Funds are 5 of 36 distinct vehicles; hedge, securitized or liquidity vehicles 31
Sep 13, 2026
Hybrid manager (probable, 65%, cls-pe-1)
R4: Private Equity Funds are 5 of 35 distinct vehicles; hedge, securitized or liquidity vehicles 30

Regulatory footprint (Form ADV)

Adviser type: registered investment adviser
Form ADV filings: Mar 30, 2012 to Mar 30, 2026
RAUM: $647Mregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 5
PE fund GAV, latest filing: $116Mreported gross assets (Form ADV), not fund size
All private fund GAV: $1.0Bevery private fund type, latest filing
2024 PE fund GAV: $116Msum over funds typed Private Equity Fund with a 2024 or later as-of date
PE share of funds, lifetime: 14%
Fund type mix: filed 2026-03-30, latest gav Hedge Fund $920M, Private Equity Fund $116M, latest counts Hedge Fund 16, Private Equity Fund 5, lifetime distinct Hedge Fund 31, Private Equity Fund 5
Employees: 7
Headquarters: New York, NY
Office address: ••• Locked
Business phone: ••• Locked

Stated criteria beside observed behaviour

no observed deals yet

Stated by the firm

Sectors: media telecom
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: control
Thesis: ••• Locked

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

8 on record

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	GAV by year	Form D sold	Lifecycle
S•• B••••••••• H••••••• L•• ADV: Private Equity Fund	Feeder or parallel	2019 first reported on Form ADV	$6.5M as of Mar 30, 2026		no Form D	Harvest
S•• F••• I• L•• ADV: Private Equity Fund	buyout or unlabelled	2019 first reported on Form ADV	$3.9M as of Mar 30, 2026		no Form D	Harvest
S•• F••• I•• L• ADV: Private Equity Fund	buyout or unlabelled	2019 first reported on Form ADV	$1.1M as of Mar 30, 2026		no Form D	Harvest
S•• F••••• F••• I•• L• ADV: Private Equity Fund	Feeder or parallel	2019 first reported on Form ADV	$700,000 as of Mar 30, 2026		no Form D	Harvest
S••• H••••••• L••	Feeder or parallel	2019 Form D first sale	unknown	no reporting	no Form D	Lifecycle unknown
S• S•••••• S••••••••• F••• L••• ADV: Private Equity Fund	Special situations fund	2018 first reported on Form ADV	$103M as of Mar 30, 2026		no Form D	Unknown
S••••••• F••• V• L• • C•••• E•	buyout or unlabelled	unknown	unknown	no reporting	no Form D	Lifecycle unknown
S••••••• F••• V• • O•••••••• L• • C•••• E•	Feeder or parallel	unknown	unknown	no reporting	no Form D	Lifecycle unknown

Team

2 current, 6 former

Partner (1)

S••••••• •••• K•• · Sole Member · since Nov 1, 2007 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Platform (1)

J••••• D••••• M•••• · Chief Financial Officer, Chief Compliance Officer · since May 1, 2009 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)

C•••• A•••• H••• · Senior Managing Member · Aug 1, 2007 to Mar 29, 2019 Inference
D••••• H••••••• S•••• · Senior Managing Member · Feb 1, 1997 to Mar 29, 2019 Inference
D•••• E• G••••• · Partner · Jan 1, 2014 to Mar 28, 2024 Inference
N••••••• J•••• S••••• · Member · Nov 1, 2007 to Mar 31, 2015 Inference
S•••••• S••••• U•••• · Partner · May 1, 2009 to May 26, 2021 Inference
G••• D•••• S•••••• · G•••••• Counsel/Chief Compliance Officer · Jan 1, 2015 to Mar 28, 2024 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

1 relationships

Placement agents (1)

F•••• A••••• 1 shared · one time · last Jan 1, 2018

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
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: 2026-09-23items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":1,"evidence":"0 days"}]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: portfolio, transactions, lenders, 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: today
Observations: 41
Sources: 4
Open research tasks: 1

Reading this profile

Across the graphs

S••••••• G•••••• L••• is the same institution as 3 records in Independent Sponsors, RIA and Wealth and Private Credit.

Independent Sponsors1RIA and Wealth1Private Credit1

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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