DFX Intelligence

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E•••••• H•••••••

Hybrid managerClassification probableunsizedSEC registered investment adviser· Cincinnati, OH

Hybrid manager, based in Cincinnati, OH.

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: $105M
PE funds: 0
Investments held: 0 of 33

Find similar buyers Funds and vehicles

Team (5)Transactions

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

Nothing material in the last 180 days. No dated change on record yet.

Classification, Form ADV and stated criteria

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

Class: Hybrid managerprobable, confidence 65%
Basis: Private Equity Funds are 1 of 3 distinct vehicles; hedge, securitized or liquidity vehicles 2
Size band: unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later

Classification history (1)

Sep 13, 2026
Hybrid manager (probable, 65%)
Private Equity Funds are 1 of 3 distinct vehicles; hedge, securitized or liquidity vehicles 2

Regulatory footprint (Form ADV)RAUM $105M · 0 PE funds · filed Mar 29, 2017Show

Adviser type: Registered investment adviser
Form ADV filings: Mar 28, 2012 to Mar 29, 2017
RAUM: $105Mregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 0
PE fund GAV, latest filing: unknownreported gross assets (Form ADV), not fund size
All private fund GAV: unknownevery 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: 33%
Fund type mix: Hedge fund: 2 ever reported
Private equity fund: 1 ever reported
Form ADV filed Mar 29, 2017
Employees: 0
Headquarters: Cincinnati, OH
Office address: ••• Locked
Business phone: ••• Locked

Stated criteria beside observed behaviourno criteria stated · 33 observed dealsShow

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

On record: 33 companies, 33 holdings
Most deals: Financial services (5 of 33, e.g. Kraken and Hanmi Bank), software (2 of 33), media telecom (2 of 33) and 1 more
Subsectors: Financial services (5 of 33), media telecom (2 of 33), vertical software (1 of 33), software (1 of 33) and 1 more
Deal roles: 33 with role not stated
Control: 33 not stated

33 companies on the graph (0 transactions); most in financial services (5); no dated observations

Funds

1 family, 1 vehicles on record

F•• S•••••• F••• O•• L••• · 1 vehicle$97,943
- F•• S•••••• F••• O•• L••• buyout or unlabelled$97,943

View all 1 vehiclenewest vintage first, then largest

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	GAV by year	Form D sold	Lifecycle
F•• S•••••• F••• O•• L••• ADV: Private Equity Fund	buyout or unlabelled	unknown	$97,943 as of Mar 26, 2014		no Form D	Unknown

Team

4 current, 1 former

A•••••••• D•••• W•••
Shareholder · since Apr 1, 2008
J••• M•••••• S••••
Shareholder · since Apr 1, 2008
S••••• N••• S••••
Shareholder · since Apr 1, 2008
C•••••• F•••••••• C••••
General Counsel And Chief Compliance Officer · since Sep 1, 2003

Full team · 4 peoplegrouped by role, with sources

Partner (3)

A•••••••• D•••• W••• · Shareholder · since Apr 1, 2008 Form ADV
J••• M•••••• S•••• · Shareholder · since Apr 1, 2008 Form ADV Firm website
S••••• N••• S•••• · Shareholder · since Apr 1, 2008 Form ADV

Platform (1)

C•••••• F•••••••• C•••• · General Counsel And Chief Compliance Officer · since Sep 1, 2003 Form ADV

1 former (kept with end dates)

J••• J••••• P••••• · Chief Financial Officer · Sep 1, 2003 to Mar 29, 2016 Inference

Deals

33 on record, newest first · 0 platforms · 0 add-ons

Date	Company	Deal	This firm’s role	Status	Partner	Source
date unknown	A••• T••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	B•••••• L•••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	U•••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	C•••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	D•• O••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website

All 33 dealsnewest first

Date	Company	Deal	This firm’s role	Status	Partner	Source
date unknown	A••• T••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	B•••••• L•••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	U•••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	C•••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	D•• O••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	A••••••• B••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	C••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	C••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	S••••••••• B•••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	• F•••••• F•••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	K••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	C•••••• B•••	Portfolio relationship	Role unknown	exited	unknown	Fact Firm website
date unknown	A••••• B•••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	H•••• B•••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	B••• B••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	S••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	F••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	R•••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	S••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	F•••••• C•••••••• B•••	Portfolio relationship	Role unknown	exited	unknown	Fact Firm website
date unknown	S•••• G•••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	I••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	P••••••••• B••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	S•••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	K•••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	B•••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	D••••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	D•••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	E••••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	E•••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	K•••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	Z•••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website
date unknown	I•••••••• G••••	Portfolio relationship	Role unknown	unknown	unknown	Fact Firm website

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 LPs, 0 disclosed commitments

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

Sep 1, 2026
••• Locked
Adviser off rosterInferenceForm ADV
Mar 28, 2012
••• Locked
First Form ADV filingFactForm ADV

Scores and what they are made of

Freshness97 · high: Days since newest evidence: 6 days
Research priority25 · moderate: Scale band: unsized
Completeness gap: 7 of 12 profile fields missing
Investment velocity0 · low: no components recorded
Not yet on record: no dated transactions
Acquisition appetite0 · low: no components recorded
Not yet on record: no transactions on the graph for this firm yet
Profile completeness42 · moderate: Fields present: website, funds, team and 2 more
Not yet on record: description, transactions, stated criteria, lenders, intermediaries, lps, cross dfx
Fund deployment activity0 · low: no components recorded

Across DFX

No link to the family office, independent sponsor or venture graphs yet. Links are made only on a shared identifier such as a CRD or CIK number.

Record

First observed: Sep 13, 2026
Last observed: 6 days ago
Observations: 20
Sources: 3
Open research tasks: 1

Reading this profile

Across the graphs

E•••••• H••••••• is the same institution as 1 record in RIA and Wealth.

RIA 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.

Checking your plan…

Not yet on record: PE fund assets, deals, last 12 months.