DFX Intelligence
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R•••• A••••••••• I••••••••• •••• L••
Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· Chattanooga, TNr•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $775M
- PE fund assets
- $775M
- PE funds
- 4
- Investments held
- 46 of 95
- Deals, last 12 months
- 5
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
- EBITDA $3.0M to $12.0MRevenue $15.0M to $100MGeography North America
- Last 12 months 5Most recent last monthPlatform deals 40
- Graphs 1
Classification
How this organization is classified, and on what basisBuyout firm · 1 in historyShowHide
- Class
- Buyout firmconfirmed, confidence 85%
- Basis
- R6: 11 of 12 distinct vehicles are sworn Private Equity Funds; 4 reported gross assets on a filing in 2022 or later
- Size band
- Lower middle marketdefined by: proxy: $0.78bn Private Equity Fund GAV on the Form ADV filed 2024-03-27
Classification history (1)
- Sep 13, 2026Buyout firm (confirmed, 85%, cls-pe-1)R6: 11 of 12 distinct vehicles are sworn P•••••• Equity Funds; 4 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Feb 14, 2012 to Mar 27, 2024
- RAUM
- $775Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 4
- PE fund GAV, latest filing
- $775Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $775Mevery 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
- 92%
- Fund type mix
- filed 2024-03-27, latest gav Private Equity Fund $775M, latest counts Private Equity Fund 4, lifetime distinct Hedge Fund 1, Private Equity Fund 11
- Employees
- 18
- Headquarters
- Chattanooga, TN
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
95 observed deals
Stated by the firm
- Sectors
- not stated or not yet read
- Geography
- North America
- Revenue
- $15.0M to $100M
- EBITDA
- $3.0M to $12.0M
- Enterprise value
- not stated or not yet read
- Equity check
- not stated or not yet read
- Control
- not stated or not yet read
- Thesis
- ••• Locked
Observed from deals on record
- roles
- add on 1, unknown 53, platform 41
- period
- to 2026-08-17, from 1990-01-01, undated holdings 12, dated observations 124
- window
- last 2026-08-17, first 2012-01-09
- control
- control 41, unknown 54
- companies
- 95
- geography
- count 4, share 0.042, value IL, count 3, share 0.032, value TX, count 2, share 0.021, value OK, count 2, share 0.021, value NJ, count 2, share 0.021, value PA, count 1, share 0.011, value OH, count 1, share 0.011, value MI, count 1, share 0.011, value ID
- investments
- 95
- seller kinds
- family 1, founder 2
- transactions
- 41
- cadence by year
- 2012 platforms 3, 2014 platforms 1, 2016 platforms 1, 2017 platforms 2, 2018 platforms 4, 2019 platforms 2, 2021 platforms 7, 2022 platforms 6, 2023 platforms 3, 2024 platforms 6, 2025 platforms 1, 2026 add ons 1, platforms 4
- platform add on
- add ons 1, platforms 41, add ons per platform 0.02
- sector known for
- 20
- disclosed value usd
- n 0
- sector distribution
- count 12, share 0.126, value industrial manufacturing, examples Industrial Magnetics, Inc, Weaverleather, LEM Products, Inc., Humphrey’s Industrial Products, Inc., count 4, share 0.042, value specialty distribution, examples Caster Connection, LLC, Roscoe Medical, Pro-Line Safety Products, Omega Environmental Technologies, count 2, share 0.021, value industrial services, examples Consolidated Utility Services, Inc (CUS), headquarters, count 1, share 0.011, value media telecom, examples Spectrum, count 1, share 0.011, value consumer services, examples Troxel Cycling & Fitness, LLC
- holding period years
- n 8, median 5.3
- repeat counterparties
- role lender, shared 6, entity id 2a519b7c-7d8f-48cb-b52a-522706512cc8, role buy side adviser, shared 5, entity id c358160a-27ec-495a-86d5-31f1e10b08f3, role lender, shared 4, entity id 8da162ba-5edb-4822-8dd7-716c07e99126, role buy side adviser, shared 4, entity id 518b747b-9ab8-44db-9ac4-9fbc3cddd863, role lender, shared 2, entity id 9cfe3282-3859-4846-ac80-8916d320cbc0, role mezzanine lender, shared 2, entity id d1587374-60fc-4a68-bede-1c4997b160f4, role lender, shared 2, entity id 393058d5-8e86-4fab-a53b-c1a9f345f7fd
- subsector distribution
- count 6, share 0.063, value miscellaneous manufacturing, examples Industrial Magnetics, Inc, Weaverleather, LEM Products, Inc., Humphrey’s Industrial Products, Inc., count 3, share 0.032, value misc durable wholesale, examples Roscoe Medical, Pro-Line Safety Products, Omega Environmental Technologies, count 2, share 0.021, value plastics rubber products, examples Diversified Plastics, Inc., Lucent Polymers, count 1, share 0.011, value motor vehicle parts wholesale, examples Caster Connection, LLC, count 1, share 0.011, value media telecom, examples Spectrum, count 1, share 0.011, value utility construction, examples Consolidated Utility Services, Inc (CUS), count 1, share 0.011, value printing, examples Rose City Printing and Packaging, count 1, share 0.011, value food manufacturing, examples Wheat Montana
95 companies on the graph (41 transactions); most in industrial manufacturing (12); 41 platforms and 1 add-ons; median observed hold 5.3 years (n=8); observed 1990 to 2026
Funds
13 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| R•••• V•••• L• ADV: P•••••• Equity Fund | buyout or unlabelled | 2023 first reported on Form ADV | $352M as of Mar 27, 2024 | no Form D | Early deployment | |
| R•••• V••• L• ADV: P•••••• Equity Fund | buyout or unlabelled | 2018 first reported on Form ADV | $407M as of Mar 27, 2024 | no Form D | Mature | |
| R•••• V• L• ADV: P•••••• Equity Fund | buyout or unlabelled | unknown | $21.5M as of Mar 25, 2020 | no Form D | Wound down | |
| R•••• V•• L• ADV: P•••••• Equity Fund | buyout or unlabelled | unknown | $9.4M as of Mar 27, 2024 | no Form D | Harvest | |
| R•••• V• P•••••••• L• ADV: P•••••• Equity Fund | Feeder or parallel | unknown | $7.3M as of Mar 27, 2024 | no Form D | Harvest | |
| R•••• I• L• ADV: P•••••• Equity Fund | buyout or unlabelled | unknown | $6.0M as of Mar 25, 2020 | no Form D | Wound down | |
| T•••••• R••••• L• ADV: P•••••• Equity Fund | buyout or unlabelled | unknown | $5.4M as of Mar 25, 2020 | no Form D | Wound down | |
| H•••••••• R••••• L• ADV: P•••••• Equity Fund | buyout or unlabelled | unknown | $2.8M as of Mar 25, 2020 | no Form D | Wound down | |
| R•••• K• L• ADV: P•••••• Equity Fund | buyout or unlabelled | unknown | $452,000 as of Mar 25, 2020 | no Form D | Wound down | |
| R•••• I•• L• ADV: P•••••• Equity Fund | buyout or unlabelled | unknown | $95,476 as of Sep 13, 2016 | no Form D | Wound down | |
| R•••• I••• L• ADV: P•••••• Equity Fund | buyout or unlabelled | unknown | $78,787 as of Sep 13, 2016 | no Form D | Wound down | |
| R•••• A••••••••• I••••••••• ••• E••••• P•••••• E••••• F••• | buyout or unlabelled | unknown | unknown | no reporting | no Form D | Unknown |
| R•••• A••••••••• I••••••••• ••• S•••••• P•••••• E••••• F••• | buyout or unlabelled | unknown | unknown | no reporting | no Form D | Unknown |
Team
18 current, 4 former
Managing partner (2)
- J•••• B••••• B•••• · President & Chief Manager · since May 1, 2001 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M••• B••••••••• · Co-Managing Partner · start date unknown Press release wires (PR N•••wire, GlobeN•••wire, B••••••• W••• public pages and RSS)
Partner (4)
- C•••• B•••• · Partner · start date unknown Press release wires (PR N•••wire, GlobeN•••wire, B••••••• W••• public pages and RSS)
- G••••• H••••• P••••• P•••••• · Owner · since May 1, 2001 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M••• B••••••••• · Partner · start date unknown Press release wires (PR N•••wire, GlobeN•••wire, B••••••• W••• public pages and RSS)
- P••••• P•••••• · Partner · start date unknown Press release wires (PR N•••wire, GlobeN•••wire, B••••••• W••• public pages and RSS)
Principal (3)
- B•••• L•••• · Principal · start date unknown Press release wires (PR N•••wire, GlobeN•••wire, B••••••• W••• public pages and RSS)
- K•• T•••• · Principal · start date unknown Press release wires (PR N•••wire, GlobeN•••wire, B••••••• W••• public pages and RSS)
- S••••• V•••• · Principal · start date unknown Press release wires (PR N•••wire, GlobeN•••wire, B••••••• W••• public pages and RSS)
Vice president (3)
- B•••• L•••• · Vice President · start date unknown Press release wires (PR N•••wire, GlobeN•••wire, B••••••• W••• public pages and RSS)
- M•••••• D••• B••••••••• · Vice President & Secretary · since May 1, 2001 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- S••••• V•••• · Vice President · start date unknown Press release wires (PR N•••wire, GlobeN•••wire, B••••••• W••• public pages and RSS)
Board or advisory (2)
- J•••• O••• M•••• · Trustee · since Nov 1, 2020 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- N•••• M•••• · Trustee · since Jan 1, 2006 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (4)
- C••••••• L•••• C••• · Cco/Treasurer · since May 1, 2001 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- G••••• H••••• P••••• P•••••• · Assistant Secretary · since May 1, 2001 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J••• M••••••• J•••• · Assistant Secretary · since May 1, 2001 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- W•••••• C•••• B•••• · Assistant Secretary · since May 1, 2001 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
4 former (kept with end dates)
- S••••• M•••• · Trustee · Jan 1, 2006 to Mar 30, 2021 Inference
- T•• T••••• M••••• · M••••• O• R•••••• A•••••• R•••• A••••••••• L•• · Mar 1, 1995 to Feb 24, 2017 Inference
- B••••••• S• V•••• · Vice President · Jan 1, 2017 to Mar 25, 2019 Inference
- B•••• T•••• L•••• · Vice President · Jan 1, 2017 to Mar 25, 2019 Inference
Portfolio
95 relationships, 41 platforms, 1 add-ons
Transactions
49 on record
Placement agents, lenders, advisers and co-investors
42 relationships
Placement agents (1)
- L• G•••• L•• 3 shared · strong · last Jan 1, 2012
Lenders (18)
- N•••••••• C••••••• L•• 6 shared · very strong · last Apr 19, 2024
- A••••• F•••••• 4 shared · strong · last Apr 3, 2023
- N•• C•••••• 2 shared · recurring · last Nov 15, 2024
- P•• M•••••••• C•••••• 2 shared · recurring · last Sep 29, 2023
- B••• C•••••• 2 shared · recurring · last Mar 1, 2024
- A••••• F•••••• G•••• 1 shared · one time · last Jul 7, 2026
- B••• C•••••• F•••••• 1 shared · one time · last Jul 15, 2022
- M•••••• C•••••• 1 shared · one time · last Feb 25, 2016
- E•••• P•••••• C•••••• 1 shared · one time · last May 14, 2018
- B••••• C•••••• 1 shared · one time · last Dec 11, 2012
- O•••••• B••• 1 shared · one time · last Dec 11, 2012
- P•• B••••••• C••••• 1 shared · one time · last Jan 9, 2012
- N•••••••• M•••••••• P••••••• S••• 1 shared · one time · last Feb 17, 2021
- G•• C•••••• P••••••• 1 shared · one time · last Jul 7, 2026
- B••••• B••• 1 shared · one time · last Apr 19, 2024
- T•• C•••••• 1 shared · one time · last Mar 23, 2018
- B••• o• M••••••• 1 shared · one time · last Dec 30, 2021
- M•••••• C•••••• F•••••• L•• 1 shared · one time · last Feb 17, 2021
Financial advisers (23)
- W••••• L•••••• D••••• • D•••• 5 shared · very strong · last Dec 19, 2022
- H•••••• • K••••• 4 shared · strong · last Aug 17, 2026
- B••• 2 shared · recurring · last Apr 19, 2024
- B•••• • S••• 2 shared · recurring · last Apr 19, 2024
- O•• • R••• P• 1 shared · one time · last Jul 15, 2022
- S••••••• E•••••• L•• 1 shared · one time · last Dec 30, 2021
- P•••••••• P••••••• 1 shared · one time · last Jul 7, 2026
- K••••• M••••• R••••••• L•• 1 shared · one time · last May 14, 2018
- H••••••• M••••• S••••••• 1 shared · one time · last Jul 7, 2026
- P•••••••• A••••••• 1 shared · one time · last May 14, 2018
- O••••••••• C•••••• 1 shared · one time · last Dec 19, 2022
- N•••• • S•••••• 1 shared · one time · last Mar 23, 2018
- M••••• T•••••• L•• 1 shared · one time · last Dec 30, 2021
- O•••••••• • M••••• L•• 1 shared · one time · last Aug 17, 2026
- I••••••• I••••••••• B•••••• 1 shared · one time · last Aug 17, 2026
- B•••• G•••••• L••• • C•••••• 1 shared · one time · last Mar 23, 2018
- I•• M••••• 1 shared · one time · last Dec 19, 2022
- G•••••••• C•••••• G•••• 1 shared · one time · last Dec 19, 2022
- P••••••• M••••• P• 1 shared · one time · last Feb 17, 2021
- S••••••••• P••••••• L•• 1 shared · one time · last Apr 19, 2024
- K••• C•••••••• F•••••• 1 shared · one time · last Dec 30, 2021
- C••• L•• 1 shared · one time · last Jul 7, 2026
- K••••••••• T••••••• • S••••••• 1 shared · one time · last Nov 15, 2024
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
60 most recent
- Sep 3, 2026
- Sep 3, 2026••• Locked
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- Sep 19, 2024••• LockedPlatform investmentFactM•••••Press release wires (PR N•••wire, GlobeN•••wire, B••••••• W••• public pages and RSS)
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Across the graphs
R•••• A••••••••• I••••••••• •••• 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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