DFX Intelligence
Private Equity Intelligence
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Firms / M••• C•••••• P••••••• I• I••
M••• C•••••• P••••••• I• I••
Classification
- Class
- Buyout firmprobable, confidence 65%
- Basis
- R6: 2 of 2 distinct vehicles are sworn Private Equity Funds
- Size band
- unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Classification history (1)
- Sep 13, 2026Buyout firm (probable, 65%, cls-pe-1)R6: 2 of 2 distinct vehicles are sworn Private Equity Funds
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Mar 30, 2012 to Jul 12, 2012
- RAUM
- $1.1Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 2
- PE fund GAV, latest filing
- $171Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $171Mevery 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
- filed 2012-07-12, latest gav Private Equity Fund $171M, latest counts Private Equity Fund 2, lifetime distinct Private Equity Fund 2
- Employees
- unknown
- Headquarters
- New York, NY
- Office address
- 1 NY PLAZA, 32ND FLOOR, ATT: FRED STEINBERG, New York, NY, 10004
- Business phone
- 2122765211
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
0 on record, 2 more on the reporting tape
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 |
|---|---|---|---|---|---|
| M••••• S•••••• D••• W••••• C•••••• P••••••• I•• L••• | Private Equity Fund | 2012 to 2012 | $156M filed Jul 12, 2012 | adviserinfo.sec.gov | |
| M••• I• 8•• I••••••••• L••• | Private Equity Fund | 2012 to 2012 | $14.5M filed Jul 12, 2012 | adviserinfo.sec.gov |
Team
8 current, 1 former
Managing partner (2)
- A••• K••• J•••• · Head Of Private Equity, President, Chief Executive Officer And Director · since Aug 1, 2007 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- G•••••• J•••• F•••••• · President Of M••••• S•••••• Investment Management And M••••• S•••••• Smith Barney · since Jul 1, 2010 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Principal (2)
- E••• T••• F•• · Director · since Jul 1, 2010 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J••• J•••••• M••• · Director · since Jul 1, 2010 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (4)
- E••••• N• M••••••• · Coo Of M••••• S•••••• Investment Management And Head Of Merchant Banking And Real Estate Investing · since Feb 1, 2010 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- F••• S•••••••• · Chief Financial Officer · since Aug 1, 2009 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J•••• S••• K••••• · Chief Legal Officer · since Mar 1, 2011 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M•••••• H•••• · Chief Compliance Officer · since Feb 1, 2012 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
1 former (kept with end dates)
- J••••••• M••••• C•••••• · Chief Compliance Officer · Jun 1, 2009 to Jul 12, 2012 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
2 most recent
- Sep 1, 2026Adviser CRD 108710 is not on the SEC registered or exempt adviser roster of 2026-09-01
- Mar 30, 2012M••• C•••••• P••••••• I• I•• first filed Form ADV in the extract (IA)
Across the graphs
M••• C•••••• P••••••• I• 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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