DFX Intelligence
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S••••••• L••
CandidateClassification candidateunsizedSEC registered investment adviser· Santa Monica, CAd•••••.com
Candidate, based in Santa Monica, CA.
Composed from this firm's filed classification and location. It has no published description on record.
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $16.4M
- PE fund assets
- Not established
- PE funds
- 0
- Investments held
- Not established
- Deals, last 12 months
- Not established
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Why this matters
- Graphs 1
- RAUM $16.4M
Classification
How this organization is classified, and on what basisCandidate · 1 in historyShowHide
- Class
- Candidatecandidate, confidence 40%
- Basis
- R7: admitted on 3 Private Equity Fund(s) among 8 vehicles; no rule fired
- Size band
- unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Classification history (1)
- Sep 13, 2026Candidate (candidate, 40%, cls-pe-1)R7: admitted on 3 Private Equity Fund(s) among 8 vehicles; no rule fired
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Apr 2, 2012 to Jun 17, 2026
- RAUM
- $16.4Mregulatory 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
- $404Mevery 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
- 38%
- Fund type mix
- filed 2024-12-23, latest gav Securitized Asset Fund $592M, latest counts Securitized Asset Fund 2, lifetime distinct Private Equity Fund 3, Securitized Asset Fund 5
- Employees
- 20
- Headquarters
- Santa Monica, CA
- 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
4 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| T•• R••••••• L•• ADV: Securitized Asset Fund | buyout or unlabelled | 2018 first reported on Form ADV | $796M as of Nov 22, 2023 | no Form D | Active deployment | |
| T••••••••• D•• O••••••••• F•••••• L• ADV: Private Equity Fund | Feeder or parallel | 2013 first reported on Form ADV | $10.5M as of Mar 28, 2013 | no Form D | Wound down | |
| T••••••••• O••••••••• F••• V•• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $530M as of Mar 28, 2013 | no Form D | Wound down | |
| T••••••••• D•• O••••••••• F•••• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $29.3M as of Mar 28, 2013 | no Form D | Wound down |
Team
4 current, 8 former
Partner (3)
- J•••• E••••• K••••• · Managing Director · since Sep 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- P••••• M• T•••• · Managing Director · since Aug 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- R••••••• V•• · Managing Director · since Aug 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (1)
- C•••••• C•••• S•• P••• · Chief Compliance Officer · since Sep 1, 2018 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)
- M•••••• E••••• T••••••••• · Managing Member · Jun 1, 1996 to Nov 12, 2018 Inference
- E•••••••• A•••• G•••••••• · Managing Director · Aug 1, 2018 to Mar 29, 2023 Inference
- H••••• M••••••• L•••••••• · Managing Director · Aug 1, 2018 to May 17, 2024 Inference
- L•• R••••• L•••••• · Managing Director · Aug 1, 2018 to May 17, 2024 Inference
- M••• K•••• H••••••••• · Member · Jul 1, 2004 to Nov 12, 2018 Inference
- M•••••• E••• L•••••• · Managing Director · Aug 1, 2018 to May 17, 2024 Inference
- P••• L••••• D•••• · Managing Director · Aug 1, 2018 to May 17, 2024 Inference
- S•••••• S••••••••• T••••••••• · Member · Jun 1, 1996 to Nov 12, 2018 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
1 most recent
- Apr 2, 2012••• Locked
Across the graphs
S••••••• L•• 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.
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