DFX Intelligence
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C••••• C•••• A••••••• I• L••
Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· San Diego, CAc•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $1.1B
- PE fund assets
- $775M
- PE funds
- 9
- Investments held
- 59 of 59
- 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
- Geography Texas
- Graphs 2
- Placement agents 5
Classification
How this organization is classified, and on what basisBuyout firm · 1 in historyShowHide
- Class
- Buyout firmconfirmed, confidence 85%
- Basis
- R6: 12 of 12 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: $0.77bn Private Equity Fund GAV on the Form ADV filed 2024-03-25
- Strategies
- SPECIAL SITUATIONS
Classification history (1)
- Sep 13, 2026Buyout firm (confirmed, 85%, cls-pe-1)R6: 12 of 12 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
- Nov 22, 2011 to Mar 30, 2026
- RAUM
- $1.1Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 9
- PE fund GAV, latest filing
- $775Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $1.1Bevery private fund type, latest filing
- 2024 PE fund GAV
- $775Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 100%
- Fund type mix
- filed 2024-03-25, latest gav Private Equity Fund $775M, latest counts Private Equity Fund 6, lifetime distinct Private Equity Fund 12
- Employees
- 10
- Headquarters
- San Diego, CA
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
58 observed deals
Stated by the firm
- Sectors
- not stated or not yet read
- Geography
- Texas
- 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
- roles
- add on 3, unknown 54, platform 2
- period
- to 2021-06-30, from 2020-09-28, undated holdings 56, dated observations 6
- window
- last 2021-06-30, first 2020-09-28
- control
- control 3, unknown 56
- companies
- 58
- geography
- investments
- 59
- seller kinds
- transactions
- 3
- cadence by year
- 2020 add ons 1, 2021 add ons 2
- platform add on
- add ons 3, platforms 2, add ons per platform unknown
- sector known for
- 16
- disclosed value usd
- n 0
- sector distribution
- count 16, share 0.276, value financial services, examples Bryn Mawr Bank Corporation, Enterprise Financial Services Corp, Southern Missouri Bancorp, Inc., Third Coast Bank
- holding period years
- n 0
- repeat counterparties
- subsector distribution
- count 16, share 0.276, value financial services, examples Bryn Mawr Bank Corporation, Enterprise Financial Services Corp, Southern Missouri Bancorp, Inc., Third Coast Bank
58 companies on the graph (3 transactions); most in financial services (16); 2 platforms and 3 add-ons; observed 2020 to 2021
Funds
12 on record, 4 more on the reporting tape
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| C••••• C•••• C•••••• P••••••• V•• C••••••••• F••• L••• ADV: Private Equity Fund | Co-investment vehicle | 2023 first reported on Form ADV | $9.8M as of Mar 25, 2024 | no Form D | Unknown | |
| C••••• C•••• C•••••• P••••••• V••• C••••••••• F••• a• L• ADV: Private Equity Fund | Co-investment vehicle | 2023 first reported on Form ADV | $7.4M as of Mar 25, 2024 | no Form D | Early deployment | |
| C••••• C•••• C•••••• P••••••• V•••• L• ADV: Private Equity Fund | Buyout fund | 2021 first reported on Form ADV | $208M as of Mar 25, 2024 | no Form D | Active deployment | |
| C••••• C•••• S•••••• S••••••••• I•• L• ADV: Private Equity Fund | Special situations fund | 2021 first reported on Form ADV | $16.9M as of Mar 25, 2024 | no Form D | Active deployment | |
| C••••• C•••• C•••••• P••••••• V••• L• ADV: Private Equity Fund | Buyout fund | 2019 first reported on Form ADV | $276M as of Mar 25, 2024 | no Form D | Mature | |
| C••••• C•••• C•••••• P••••••• V•• L• ADV: Private Equity Fund | Buyout fund | 2017 first reported on Form ADV | $256M as of Mar 25, 2024 | no Form D | Harvest | |
| C••••• C•••• C•••• B• T••• I••••••••• L• ADV: Private Equity Fund | buyout or unlabelled | 2014 first reported on Form ADV | $14.9M as of Mar 30, 2016 | no Form D | Wound down | |
| C••••• C•••• S•••• I••••••••• L• ADV: Private Equity Fund | buyout or unlabelled | 2014 first reported on Form ADV | $1.0M as of Jun 30, 2020 | no Form D | Wound down | |
| C••••• C•••• C•••••• P••••••• V• L• ADV: Private Equity Fund | Buyout fund | 2013 first reported on Form ADV | $56.9M as of Aug 4, 2023 | no Form D | Wound down | |
| C••••• C•••• A• T••• S•••••• S••••••••• F•••• L• ADV: Private Equity Fund | Special situations fund | unknown | $23.9M as of Sep 15, 2017 | no Form D | Wound down | |
| C••••• C•••• T•• T••• S•••••• S••••••••• F•••• L• ADV: Private Equity Fund | Special situations fund | unknown | $12.4M as of Nov 13, 2014 | no Form D | Wound down | |
| C••••• C•••• C•••••• P••••••• I•• L• ADV: Private Equity Fund | Buyout fund | unknown | $0 as of Mar 17, 2022 | no Form D | Wound down |
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 | Path | Latest reported GAV | Source |
|---|---|---|---|---|---|
| C••••• C•••• C•••••• P••••••• I•• L• | Private Equity Fund | 2026 to 2026 | $109M filed Mar 30, 2026 | reports.adviserinfo.sec.gov | |
| C••••• C•••• C•••••• P••••••• V••• C••••••••• F••• C• L• | Private Equity Fund | 2026 to 2026 | $79.7M filed Mar 30, 2026 | reports.adviserinfo.sec.gov | |
| C••••• C•••• C•••••• P••••••• I• S••••••••• L• | Private Equity Fund | 2026 to 2026 | $31.7M filed Mar 30, 2026 | reports.adviserinfo.sec.gov | |
| C••••• C•••• C•••••• P••••••• I• C••••••••• F••• a• L• | Private Equity Fund | 2026 to 2026 | $11.2M filed Mar 30, 2026 | reports.adviserinfo.sec.gov |
Team
15 current, 5 former
Managing partner (7)
- A•••••• R• S••••••• · President · since Aug 1, 2013 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- D•••• J•••• V••• · President · since Aug 1, 2013 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J••• M•••••• E•••••••• · President · since Jan 1, 2005 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J••• T••••• P••••••• · President · since Feb 1, 2009 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J••••• M••••••• T••••• · President · since Feb 1, 2009 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M••• G••••• M•••• · President · since Dec 1, 2006 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- S•••••• V•••• R••• · President · since Aug 1, 2013 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Principal (2)
- M•••••• T•••••• C•• · Director · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- S•••••• C••• · Principal · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Vice president (2)
- C••••••••• E•••••••• · Vice President · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- M•••• M••••••• C•• · Senior Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Analyst (1)
- N••••• A••••• · Financial & Performance Analyst · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Platform (3)
- D•••••• S•••• · Chief Financial Officer And Chief Compliance Officer · since Jun 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- D•••••• S•••• · Chief Financial & Compliance Officer · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••••••• L••• · Office Manager / Executive Assistant · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
5 former (kept with end dates)
- M••••• J••••• S•••••• · President · Aug 1, 2013 to Mar 17, 2022 Inference
- W•••••• J••• R•• · President · Jan 1, 2005 to Nov 13, 2014 Inference
- S••••• K••••• M•••• · Cco Of C••••• C•••• A••••••• I•, Cas Crk T••• Adv (Rl Adv), Cas Crk C•••• B T••• Adv (Rl Adv), Cas Crk Spec Sit Adv (Rl Adv) · Nov 1, 2013 to Mar 31, 2015 Inference
- J••••• M••••••• T••••• · Managing Principal Of C••••• C•••• S•••••• S••••••••• Advisors Llc (Relying Advisor) · May 1, 2014 to Mar 29, 2019 Inference
- M••• G••••• M•••• · Managing Principal Of C••••• C•••• S•••••• S••••••••• Advisors Llc (Relying Advisor) · May 1, 2014 to Mar 29, 2019 Inference
Portfolio
59 relationships, 2 platforms, 3 add-ons
Transactions
3 on record
| Date | Type | Target | This firm’s role | Source |
|---|---|---|---|---|
| Jun 30, 2021 | Add-on acquisition | R•••••••• F•••••••• C••••••••• | Sponsor (derived) | c•••••••••.com |
| Jun 30, 2021 | Add-on acquisition | R•••••••• F•••••••• C••••••••• | Sponsor (derived) | c•••••••••.com |
| Sep 28, 2020 | Add-on acquisition | W••••••• F•••••••• C•••• | Sponsor (derived) | c•••••••••.com |
Placement agents, lenders, advisers and co-investors
5 relationships
Placement agents (5)
- T••••• C•••••• G••••• I••• 5 shared · very strong · last Jan 1, 2022
- T••••• P•••••• C••••••• L•• 4 shared · strong · last Jan 1, 2021
- C••••• C•••• F•••••••• L•• 3 shared · strong · last Jan 1, 2014
- P••••••• C•••••• P•••••••• L•• 1 shared · one time · last Jan 1, 2019
- E•••• F•••••••• C••••••••• L•• 1 shared · one time · last Jan 1, 2022
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
24 most recent
- Mar 30, 2026••• Locked
- Aug 4, 2022••• Locked
- Jun 30, 2021••• Locked
- Jun 3, 2021••• Locked
- Apr 16, 2021••• Locked
- Sep 28, 2020••• Locked
- Jun 29, 2020••• Locked
- Apr 29, 2020••• Locked
- Apr 8, 2020••• Locked
- Mar 7, 2019••• Locked
- Dec 4, 2018••• Locked
- Jun 5, 2018••• Locked
- Oct 29, 2017••• Locked
- Jun 23, 2017••• Locked
- May 1, 2017••• Locked
- May 23, 2016••• Locked
- May 2, 2016••• Locked
- Jan 8, 2016••• Locked
- Sep 27, 2013••• Locked
- Feb 7, 2013••• Locked
- Sep 26, 2012••• Locked
- Jan 6, 2012••• Locked
- Nov 22, 2011••• Locked
- Jun 17, 2011••• Locked
Across the graphs
C••••• C•••• A••••••• I• L•• is the same institution as 2 records in Independent Sponsors and RIA and Wealth.
Independent Sponsors1RIA 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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