DFX Intelligence
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S• C•••••• M••••••••• I•••
Fund of fundsClassification probableLower middle marketSEC registered investment adviser· Encino, CAs•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $1.1B
- PE fund assets
- $35.5M
- PE funds
- 4
- Investments held
- Not established
- Deals, last 12 months
- Not established
Form ADV
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Why this matters
- Sectors financial_services,media_telecom
- Graphs 1
- RAUM $1.1B
Classification
How this organization is classified, and on what basisFund of funds · 1 in historyShowHide
- Class
- Fund of fundsprobable, confidence 75%
- Basis
- R1: 4 of 4 admitted vehicles carry the sworn fund-of-funds flag
- Size band
- Lower middle marketdefined by: proxy: $0.04bn Private Equity Fund GAV on the Form ADV filed 2024-03-29
Classification history (1)
- Sep 13, 2026Fund of funds (probable, 75%, cls-pe-1)R1: 4 of 4 admitted vehicles carry the sworn fund-of-funds flag
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Mar 30, 2012 to Mar 29, 2024
- RAUM
- $1.1Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 4
- PE fund GAV, latest filing
- $35.5Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $83.9Mevery private fund type, latest filing
- 2024 PE fund GAV
- $35.5Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 80%
- Fund type mix
- filed 2024-03-29, latest gav Hedge Fund $48.4M, Private Equity Fund $35.5M, latest counts Hedge Fund 1, Private Equity Fund 4, lifetime distinct Hedge Fund 1, Private Equity Fund 4
- Employees
- 6
- Headquarters
- Encino, CA
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
no observed deals yet
Stated by the firm
- Sectors
- financial services, media telecom
- 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 |
|---|---|---|---|---|---|---|
| S• C•••••• M••••••••• P•••••• E••••• F••• I• ADV: P•••••• Equity Fund | Fund of funds | 2016 first reported on Form ADV | $33.7M as of Mar 29, 2024 | no Form D | Mature | |
| S• C•••••• M••••••••• P•••••• E••••• F••• I•• ADV: P•••••• Equity Fund | Fund of funds | unknown | $1.6M as of Mar 29, 2024 | no Form D | Harvest | |
| S• C•••••• M••••••••• P•••••• E••••• F••• I• ADV: P•••••• Equity Fund | Fund of funds | unknown | $127,557 as of Mar 29, 2024 | no Form D | Harvest | |
| S• C•••••• M••••••••• P•••••• E••••• F••• I• ADV: P•••••• Equity Fund | Fund of funds | unknown | $72,738 as of Mar 29, 2024 | no Form D | Harvest |
Team
23 current, 2 former
Managing partner (18)
- A••• S•••••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- A•••• G••••••••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- B•• K•••• · Executive Managing Partner, East Division · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- B•••• S••••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- C•••• W•••••• · Managing Partner, Market Leader · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- C••••••••• B••••••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- C••••••• E••••••• · Managing Partner, Wealth Path Group · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- D••• S•••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- D•••• ••••• W•••••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- D•••• H• L••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- D•••• P• R••••••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- G• M•••••• E••••• J•• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J•••••• C••••• · Executive Managing Partner, West Division · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J•• K•••••• · Managing Partner, Regis Group · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••••• Y•••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- K••••• S•••••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- R•••••• S• S••••• · President · since Dec 1, 2001 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- S•• A•••••• · Managing Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Partner (2)
- L•••• T••• · How Much Money Do You Need To Work With a Wealth Manager? · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- S•• D•••• · Client Relationship Manager · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Platform (3)
- A••••• K• H••••••••• · Chief Compliance Officer · since Jun 1, 2011 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- M•••••• A•••• B•••• · Chief Financial Officer · since Apr 1, 2001 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- S•••••••• N••••• C••••• · Secretary · 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)
2 former (kept with end dates)
- A•••• W••• Z••••• · Shareholder · Apr 1, 2001 to Mar 30, 2019 Inference
- S•••• M••••• S••••• · Shareholder · Apr 1, 2001 to Mar 29, 2024 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, 2026••• Locked
- Mar 30, 2012••• Locked
Across the graphs
S• C•••••• M••••••••• 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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