DFX Intelligence
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C•••••• P••••••• H•••••••• I•••
Buyout firmClassification probableMiddle marketSEC registered investment adviser· Norwalk, CT
Buyout firm, running PRIVATE CREDIT, based in Norwalk, CT.
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
- $1.2B
- PE fund assets
- $1.8B
- PE funds
- 15
- Investments held
- 6 of 6
- Deals, last 12 months
- 0
Form ADV
Form ADV
Form ADV
DFX transaction tape
DFX transaction tape
As of · identity and classification; each section below carries its own date
Why this matters
- Graphs 1
- Lenders 2Placement agents 2
- RAUM $1.2B
Classification
How this organization is classified, and on what basisBuyout firm · 1 in historyShowHide
- Class
- Buyout firmprobable, confidence 65%
- Basis
- 29 of 29 distinct vehicles are sworn Private Equity Funds
- Size band
- Middle marketdefined by: proxy: $1.83bn Private Equity Fund GAV on the Form ADV filed 2023-10-25
- Strategies
- Private credit
Classification history (1)
- Sep 13, 2026Buyout firm (probable, 65%)29 of 29 distinct vehicles are sworn P•••••• Equity Funds
Regulatory footprint (Form ADV)
- Adviser type
- Registered investment adviser
- Form ADV filings
- Feb 16, 2012 to Oct 25, 2023
- RAUM
- $1.2Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 15
- PE fund GAV, latest filing
- $1.8Breported gross assets (Form ADV), not fund size
- All private fund GAV
- $1.8Bevery 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
- 100%
- Fund type mix
- Private equity fund: 15 funds, $1.8B reported gross assets, 29 ever reported
- Employees
- 25
- Headquarters
- Norwalk, CT
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
6 observed deals
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
- 6 companies, 6 holdings, 4 transactions
- Period
- 2018 to 2020 (8 dated observations, 2 holdings undated)
- Most deals
- Industrial manufacturing (4 of 6, e.g. Premier Manufacturing Company and Parkway Products LLC)
- Subsectors
- Plastics rubber products (3 of 6), miscellaneous manufacturing (1 of 6)
- Deal roles
- 4 platforms, 2 add-ons
- Add-ons per platform
- 0.50 add-ons per platform
- Control
- 4 control, 2 not stated
- Where
- Or (1 of 6), sc (1 of 6), wa (1 of 6), ga (1 of 6)
- By year
- 2018: 1 platform; 2019: 1 add-on; 2020: 1 platform, 1 add-on
6 companies on the graph (4 transactions); most in industrial manufacturing (4); 4 platforms and 2 add-ons; observed 2018 to 2020
Funds
14 on record, 15 more on the reporting tape
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| C•••••• P••••••• P•••••• E••••• I••••• F••• I• I••••• L••• ADV: P•••••• Equity Fund | Credit fund | 2014 first reported on Form ADV | $278M as of Mar 29, 2019 | no Form D | Wound down | |
| C• B••••• L•• ADV: P•••••• Equity Fund | buyout or unlabelled | 2014 first reported on Form ADV | $700,000 as of Mar 29, 2019 | no Form D | Wound down | |
| C• D••••• L•• ADV: P•••••• Equity Fund | buyout or unlabelled | 2013 first reported on Form ADV | $0 as of Mar 29, 2019 | no Form D | Wound down | |
| C• S••••••• L•• ADV: P•••••• Equity Fund | buyout or unlabelled | 2010 Form D first sale | $2.4M as of Mar 31, 2017 | no Form D | Wound down | |
| C• H••••• L••••• L•• ADV: P•••••• Equity Fund | buyout or unlabelled | 2010 Form D first sale | $700,000 as of Mar 31, 2015 | no Form D | Wound down | |
| D••••• P•••• H•••••••• L•• ADV: P•••••• Equity Fund | buyout or unlabelled | 2010 Form D first sale | $100,000 as of Mar 29, 2019 | no Form D | Wound down | |
| C• A•••• L•• ADV: P•••••• Equity Fund | buyout or unlabelled | 2009 Form D first sale | $10.0M as of Mar 31, 2017 | no Form D | Wound down | |
| C• F••••••• L•• ADV: P•••••• Equity Fund | buyout or unlabelled | 2009 Form D first sale | $0 as of Mar 29, 2019 | no Form D | Wound down | |
| C•••••• P••••••• P•••••• E••••• I••••• F•••• L••• ADV: P•••••• Equity Fund | Credit fund | unknown | $20.8M as of Sep 23, 2020 | no Form D | Wound down | |
| C• L••• S•••• L•• ADV: P•••••• Equity Fund | buyout or unlabelled | unknown | $10.6M as of Mar 31, 2017 | no Form D | Wound down | |
| H•••• • T•••••• H•••••••• L•• ADV: P•••••• Equity Fund | buyout or unlabelled | unknown | $2.5M as of Mar 26, 2012 | no Form D | Wound down | |
| C• T••••••••• L•• ADV: P•••••• Equity Fund | buyout or unlabelled | unknown | $2.3M as of Mar 29, 2019 | no Form D | Wound down | |
| C• W•••••• L•• ADV: P•••••• Equity Fund | buyout or unlabelled | unknown | $600,000 as of Mar 31, 2017 | no Form D | Wound down | |
| C• R••• R•••• L•• ADV: P•••••• Equity Fund | buyout or unlabelled | unknown | $400,000 as of Sep 23, 2020 | no Form D | Wound down |
Gross assets by year from the annual reporting tapeAbout the reporting tapeThese 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 | Path | Latest reported GAV | Source |
|---|---|---|---|---|---|
| C•••••• P••••••• P•••••• E••••• I••••• I••• L••• | P•••••• Equity Fund | 2018 to 2023 | $602M filed Oct 25, 2023 | adviserinfo.sec.gov | |
| C•••••• P••••••• P•••••• E••••• I••••• F••• I•• L••• | P•••••• Equity Fund | 2012 to 2023 | $237M filed Oct 25, 2023 | adviserinfo.sec.gov | |
| C• M•• L•• | P•••••• Equity Fund | 2016 to 2023 | $132M filed Oct 25, 2023 | adviserinfo.sec.gov | |
| C• T•••• L•• | P•••••• Equity Fund | 2019 to 2023 | $121M filed Oct 25, 2023 | adviserinfo.sec.gov | |
| C• H•••• L•• | P•••••• Equity Fund | 2020 to 2023 | $114M filed Oct 25, 2023 | adviserinfo.sec.gov | |
| C• P••• | P•••••• Equity Fund | 2021 to 2023 | $108M filed Oct 25, 2023 | adviserinfo.sec.gov | |
| C• A••••••• L••••••• L•• | P•••••• Equity Fund | 2013 to 2023 | $92.8M filed Oct 25, 2023 | adviserinfo.sec.gov | |
| C• T••••• L•• | P•••••• Equity Fund | 2019 to 2023 | $89.8M filed Oct 25, 2023 | adviserinfo.sec.gov | |
| C• T•••• L•• | P•••••• Equity Fund | 2019 to 2023 | $72.8M filed Oct 25, 2023 | adviserinfo.sec.gov | |
| H•• E•••• | P•••••• Equity Fund | 2021 to 2023 | $72.4M filed Oct 25, 2023 | adviserinfo.sec.gov | |
| C• P••••••• L•• | P•••••• Equity Fund | 2016 to 2023 | $71.8M filed Oct 25, 2023 | adviserinfo.sec.gov | |
| H•• G•••• | P•••••• Equity Fund | 2022 to 2023 | $65.6M filed Oct 25, 2023 | adviserinfo.sec.gov | |
| H•• C••• | P•••••• Equity Fund | 2022 to 2023 | $44.5M filed Oct 25, 2023 | adviserinfo.sec.gov | |
| C• C••• L•• | P•••••• Equity Fund | 2018 to 2023 | $3.6M filed Oct 25, 2023 | adviserinfo.sec.gov | |
| C• P••••••• L•• | P•••••• Equity Fund | 2015 to 2023 | $1.2M filed Oct 25, 2023 | adviserinfo.sec.gov |
TeamWhere the team comes fromEach row names its source in short; hover the source for its full description. Sources on this list: SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites). A person named by two sources under two spellings is shown once, with both sources.
4 current, 6 former
Managing partner (3)
- B•••• F••••••••• · Founder & Chairman (Registrant) · since Mar 1, 1982 Form ADV
- M••• A•••••••• · Managing Partner (Registrant) · since Nov 1, 2004 Form ADV
- R••••• T••••• · Managing Partner (Registrant) · since Nov 1, 2004 Form ADV
Platform (1)
- B•••• R••••• · Chief Compliance Officer · since Oct 1, 2023 Form ADV
6 former (kept with end dates)
- E•••• C• T•• · Member (Cp Adviser) · Nov 1, 2011 to Mar 30, 2018 Inference
- J•••• S•••• · Managing Director (Registrant) · Jul 1, 2009 to Mar 29, 2019 Inference
- J••• C• W•••••• · Member (Cp Adviser) · Nov 1, 2011 to Mar 30, 2018 Inference
- M••• B•••••• L••••• · Member (Cp Adviser) · Jun 1, 2012 to Mar 30, 2018 Inference
- T••••••• T••• S•••• · Member (Cp Adviser) · May 1, 2012 to Mar 30, 2018 Inference
- A•••••••• K•••• · Chief Compliance Officer & Chief Financial Officer (Registrant) · Mar 1, 2018 to Oct 25, 2023 Inference
Portfolio
6 relationships, 4 platforms, 2 add-ons
| Company | Role | Status | Invested | Held | Partner | Source |
|---|---|---|---|---|---|---|
| E••••••••• P•••••• S•••••• | Platform | active | Mar 9, 2020 transaction announcement | 6.5 years | unknown | Fact Press release |
| P•••••• M••••••••• C•••••• add-on to M•••••••• | Add-on | active | Jan 14, 2020 transaction announcement | 6.7 years | unknown | Fact Press release |
| I•••• P••••••• add-on to P•••••• P••••••• L•• | Add-on | active | Apr 16, 2019 transaction announcement | 7.4 years | unknown | Fact Press release |
| M••••• I••••••••• | Platform | active | Oct 31, 2018 transaction announcement | 7.9 years | unknown | Fact Press release |
| M•••••••• | Platform | active | unknown | unknown | unknown | Fact Press release |
| P•••••• P••••••• L•• | Platform | active | unknown | unknown | unknown | Fact Press release |
Transactions
8 on record
| Date | Type | Target | This firm’s role | Source |
|---|---|---|---|---|
| Mar 9, 2020 | Platform acquisition | E••••••••• P•••••• S•••••• | Sponsor (confirmed) | heartwoodpartners.com |
| Jan 14, 2020 | Add-on acquisition | P•••••• M••••••••• C•••••• | Sponsor (confirmed) | heartwoodpartners.com |
| Apr 16, 2019 | Add-on acquisition | I•••• P••••••• | Sponsor (confirmed) | heartwoodpartners.com |
| Oct 31, 2018 | Platform acquisition | M••••• I••••••••• | Sponsor (confirmed) | heartwoodpartners.com |
| date unknown | Platform acquisition | K•• T••••••••• | Lender (confirmed) | source-cap.com |
| date unknown | Platform acquisition | K•• T••••••••• | Lender (confirmed) | source-cap.com |
| date unknown | Platform acquisition | K•• T••••••••• | Lender (confirmed) | source-cap.com |
| date unknown | Platform acquisition | R•••••••• R•••••••• W•••• | Lender (confirmed) | source-cap.com |
Placement agents, lenders, advisers and co-investors
5 relationships
Placement agents (2)
- C•••••••• A•••••••• L•• 1 shared · one time · last Jan 1, 2014
- W••• S••••• A••••• 1 shared · one time · last Jan 1, 2014
Lenders (2)
- C••• 1 shared · one time · last Jan 14, 2020
- K•••••• 1 shared · one time · last Jan 14, 2020
Financial advisers (1)
- D••• D••••••• 1 shared · one time · last Jan 14, 2020
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
4 most recent
- Sep 1, 2026••• Locked
- Mar 9, 2020••• Locked
- Oct 31, 2018••• Locked
- Feb 16, 2012••• Locked
Across the graphs
C•••••• P••••••• H•••••••• I••• 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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