DFX Intelligence

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N•• S•••• C•••••• P•••••••

Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· New Rochelle, NYn•••••••••.com

Buyout firm, based in New Rochelle, NY.

Composed from this firm's filed classification and location. It has no published description on record.

As of 2026-09-15 · identity and classification; each section below carries its own date

Regulatory AUM: $2.0B
PE fund assets: $776M
PE funds: 19
Investments held: 0 of 1
Deals, last 12 months: 2

Funds and vehicles Team (6)Transactions

As of 2026-09-15 · identity and classification; each section below carries its own date

Why this matters

Closed 2 transactions in the last twelve months, 2 in the last three years.
2025-12-09
Last 12 months 2Most recent 9 months ago
Also held on 2 other DFX graphs, so its behaviour can be read from more than one side.
Graphs 2
0 lenders and 4 placement agents appear beside this firm on the record.
Placement agents 4

Classification

How this organization is classified, and on what basisBuyout firm · 1 in historyShow

Class: Buyout firmconfirmed, confidence 85%
Basis: R6: 12 of 12 distinct vehicles are sworn Private Equity Funds; 12 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 2024-10-02

Classification history (1)

Sep 13, 2026
Buyout firm (confirmed, 85%, cls-pe-1)
R6: 12 of 12 distinct vehicles are sworn P•••••• Equity Funds; 12 reported gross assets on a filing in 2022 or later

Regulatory footprint (Form ADV)

Adviser type: registered investment adviser
Form ADV filings: Feb 5, 2014 to Mar 31, 2026
RAUM: $2.0Bregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 19
PE fund GAV, latest filing: $776Mreported gross assets (Form ADV), not fund size
All private fund GAV: $988Mevery private fund type, latest filing
2024 PE fund GAV: $776Msum over funds typed Private Equity Fund with a 2024 or later as-of date
PE share of funds, lifetime: 100%
Fund type mix: filed 2024-10-02, latest gav Private Equity Fund $776M, latest counts Private Equity Fund 12, lifetime distinct Private Equity Fund 12
Employees: 24
Headquarters: New Rochelle, NY
Office address: ••• Locked
Business phone: ••• Locked

Stated criteria beside observed behaviour

1 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

roles: standalone 1
period: to 2025-12-09, from 2025-12-09, undated holdings 0, dated observations 3
window: last 2025-12-09, first 2025-12-09
control: control 1
companies: 1
geography: count 1, share unknown, value IN
investments: 1
seller kinds
transactions: 2
cadence by year: 2025 other deals 2
platform add on: add ons 0, platforms 0, add ons per platform unknown
sector known for: 1
disclosed value usd: n 0
sector distribution: count 1, share unknown, value industrial services, examples Harrell-Fish, Inc.
holding period years: n 0
repeat counterparties
subsector distribution: count 1, share unknown, value hvac plumbing mechanical, examples Harrell-Fish, Inc.

1 companies on the graph (2 transactions); most in industrial services (1); observed 2025 to 2025

Funds

12 on record

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	Form D sold	Lifecycle
N•• S•••• C•••••• P••••••• C•• C•••••••• F•••• L• ADV: P•••••• Equity Fund	Co-investment vehicle	2024 first reported on Form ADV	$5.8M as of Oct 2, 2024	no Form D	Unknown
N•• S•••• C•••••• P••••••• F••• I••• L• ADV: P•••••• Equity Fund	Buyout fund	2022 first reported on Form ADV	$162M as of Oct 2, 2024	no Form D	Early deployment
N•• S•••• C•••••• P••••••• F••• I••••• L• ADV: P•••••• Equity Fund	Buyout fund	2022 first reported on Form ADV	$39.6M as of Oct 2, 2024	no Form D	Early deployment
N•• S•••• C•••••• P••••••• F••• I••••• L• ADV: P•••••• Equity Fund	Buyout fund	2022 first reported on Form ADV	$6.7M as of Oct 2, 2024	no Form D	Early deployment
N•• S•••• C•••••• P••••••• F••• I• B• L• ADV: P•••••• Equity Fund	Buyout fund	2019 first reported on Form ADV	$70.1M as of Oct 2, 2024	no Form D	Successor fundraising
N•• S•••• C•••••• P••••••• F••• I•• L• ADV: P•••••• Equity Fund	Buyout fund	2018 first reported on Form ADV	$224M as of Oct 2, 2024	no Form D	Successor fundraising
N•• S•••• C•••••• P••••••• F•••••• a•• F••••• C••••••••• F••• I•• L• ADV: P•••••• Equity Fund	Co-investment vehicle	2018 first reported on Form ADV	$4.8M as of Oct 2, 2024	no Form D	Mature
N•• S•••• C•••••• P••••••• F•••• L• ADV: P•••••• Equity Fund	Buyout fund	2016 first reported on Form ADV	$230M as of Oct 2, 2024	no Form D	Unknown
N•• S•••• C•••••• P••••••• F•••••• a•• F••••• C••••••••• F•••• L• ADV: P•••••• Equity Fund	Co-investment vehicle	2016 first reported on Form ADV	$4.3M as of Oct 2, 2024	no Form D	Unknown
N• U•• I••••••••• L•• ADV: P•••••• Equity Fund	buyout or unlabelled	2015 first reported on Form ADV	$23.6M as of Oct 2, 2024	no Form D	Harvest
N• C•• P••••••• L••• ADV: P•••••• Equity Fund	buyout or unlabelled	2015 first reported on Form ADV	$33,497 as of Oct 2, 2024	no Form D	Harvest
N• G•••••• P•••••••• L••• ADV: P•••••• Equity Fund	buyout or unlabelled	unknown	$4.7M as of Oct 2, 2024	no Form D	Harvest

Team

6 current, 1 former

Managing partner (1)

D•••• A••••• B••••••• · Managing Member / Partner · since Mar 1, 2013 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Partner (4)

F•••••••• S•••••• L••••• · Partner · since Jun 1, 2016 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
J••• H••••• K•• · Partner · since Jun 1, 2013 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
J••• P•••••• B•••••••• · Partner · since Sep 1, 2013 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
J••••• B••••• S••••••••• · Partner · since Jan 1, 2020 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Platform (1)

A••••• D•••• C••••••• · Chief Financial Officer & Chief Compliance Officer · since Jan 1, 2019 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)

M•••••• K•••••• S•••• · Managing Director, Operations · Nov 1, 2013 to Mar 30, 2018 Inference

Portfolio

1 relationships, 0 platforms, 0 add-ons

Company	Role	Status	Invested	Held	Partner	Source
H••••••••• I•••	Standalone	unknown	Dec 9, 2025 transaction announcement	10 months	unknown	Fact DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)

Transactions

2 on record

Date	Type	Target	This firm’s role	Source
Dec 9, 2025	Majority investment	H••••••••• I•••	Co-investor	prnewswire.com
Dec 9, 2025	Majority investment	H••••••••• I•••	Sponsor	prnewswire.com

Placement agents, lenders, advisers and co-investors

4 relationships

Placement agents (4)

M•• P•••••• F••• A••••••• L•• 7 shared · very strong · last Jan 1, 2024
S•• C•••••• A•••••••• L•• 1 shared · one time · last Jan 1, 2020
M•• P•••••• F••• A••••••• L•• 1 shared · one time · last Jan 1, 2022
C• B••••••••• I•• 1 shared · one time · last Jan 1, 2018

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

3 most recent

Mar 31, 2026
••• Locked
Pe fund count changedFactSEC Form ADV monthly roster (registered + exempt reporting advisers)
Dec 9, 2025
••• Locked
Pe in independent sponsor dealFactH••••••••• I•••DFX graph bridge (shared CRD, CIK, EIN, SEC fund id and individual CRD across fo/isi/vc/pe)
Feb 5, 2014
••• Locked
First Form ADV filingFactSEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Scores and what they are made of

Freshness96 · HIGH: as of: 2026-09-22items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":0.9611111111111111,"evidence":"7 method: sum of component points, capped at 1.0
model score-pe-1
Research priority57 · ELEVATED: as of: 2026-09-22items: [{"code":"SCALE_BAND","points":0.2,"evidence":"LOWER_MIDDLE_MARKET"},{"code":"COmethod: sum of component points, capped at 1.0
model score-pe-1
Investment velocity3 · LOW: as of: 2026-09-22items: [{"code":"TRANSACTIONS_PER_YEAR_36M","points":0.03333333333333333,"evidence":"••method: sum of component points, capped at 1.0
model score-pe-1
Acquisition appetite20 · LOW: as of: 2026-09-22items: [{"code":"RECENT_FUND","points":0.2,"caution":"a recent fund is evidence of deplmethod: sum of component points, capped at 1.0
model score-pe-1
Profile completeness67 · ELEVATED: as of: 2026-09-22items: [{"code":"FIELDS_PRESENT","points":0.6666666666666666,"evidence":["website","funmethod: sum of component points, capped at 1.0
missing: description, stated criteria, lenders, lps
model score-pe-1
Fund deployment activity100 · HIGH: as of: 2026-09-22items: [{"code":"FUNDS_DEPLOYING","points":0.7,"caution":"deployment state is read frommethod: sum of component points, capped at 1.0
model score-pe-1

Across DFX

Independent Sponsor Intelligence (matched on shared crd)

Record

First observed: Sep 13, 2026
Last observed: 7 days ago
Observations: 25
Sources: 3
Open research tasks: 1

Reading this profile

Reported gross assets are what an adviser told the SEC a fund held on a date. They are not the fund’s size and not dry powder. RAUM is a regulatory measure of the adviser, not capital available to invest.

A section that says nothing has been collected means exactly that: the graph has not read that kind of record for this firm yet.

Across the graphs

N•• S•••• C•••••• P••••••• 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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