DFX Intelligence
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P••••••••• I••••••••• A••• L••••••
CandidateClassification candidateLower middle marketSEC exempt reporting adviser· Hong Kongp•••••••••.c••.hk
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- Not established
- PE fund assets
- $9.6M
- PE funds
- 1
- Investments held
- 0 of 31
- Deals, last 12 months
- Not established
Form ADV
Form ADV
DFX transaction tape
As of · identity and classification; each section below carries its own date
Why this matters
- Placement agents 1
Classification
How this organization is classified, and on what basisCandidate · 1 in historyShowHide
- Class
- Candidatecandidate, confidence 40%
- Basis
- R7: admitted on 3 Private Equity Fund(s) among 12 vehicles; no rule fired
- Size band
- Lower middle marketdefined by: proxy: $0.01bn Private Equity Fund GAV on the Form ADV filed 2024-09-13
Classification history (1)
- Sep 13, 2026Candidate (candidate, 40%, cls-pe-1)R7: admitted on 3 P•••••• E••••• Fund(s) among 12 vehicles; no rule fired
Regulatory footprint (Form ADV)
- Adviser type
- exempt reporting adviser
- Form ADV filings
- Feb 15, 2012 to Jun 10, 2026
- RAUM
- unknownregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 1
- PE fund GAV, latest filing
- $9.6Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $1.5Bevery private fund type, latest filing
- 2024 PE fund GAV
- $9.6Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 25%
- Fund type mix
- filed 2024-09-13, latest gav Other Private Fund $3.1B, Private Equity Fund $9.6M, latest counts Other Private Fund 8, Private Equity Fund 1, lifetime distinct Other Private Fund 9, Private Equity Fund 3
- Employees
- unknown
- Headquarters
- Hong Kong, China
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
31 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
- unknown 31
- period
- to unknown, from unknown, undated holdings 31, dated observations 0
- window
- last unknown, first unknown
- control
- unknown 31
- companies
- 31
- geography
- investments
- 31
- seller kinds
- transactions
- 0
- cadence by year
- platform add on
- add ons 0, platforms 0, add ons per platform unknown
- sector known for
- 0
- disclosed value usd
- n 0
- sector distribution
- holding period years
- n 0
- repeat counterparties
- subsector distribution
31 companies on the graph (0 transactions); no dated observations
Funds
3 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| P••••••••• A••• P••••••• I•• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | unknown | $9.6M as of Sep 13, 2024 | no Form D | Harvest | |
| P••••••••• A••• P•••••••• L••• ADV: P•••••• E••••• Fund | buyout or unlabelled | unknown | $204,597 as of Feb 15, 2017 | no Form D | Wound down | |
| P••••••••• A••• P••••••• P••••••• C••• ADV: P•••••• E••••• Fund | Feeder or parallel | unknown | $11,819 as of Feb 15, 2017 | no Form D | Wound down |
Team
9 current, 17 former
Managing partner (1)
- K••• C•••••• S•••••• · Chief Executive Officer, A••• · since Mar 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Partner (1)
- R•••••• T••• K•• L• · Shareholder · since Dec 1, 1996 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Principal (3)
- E••••• T•• · Director & Non-Executive Chairman · since Feb 1, 2011 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- T• H•• S••• · Director · since Sep 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- Y•• S••• S••• · Director · since Sep 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (4)
- C••••• S•• S•• P••• · Chief Legal Officer A••• Ex-J•••• · since Jan 1, 2013 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- C•••• J•• L•• · Head Of Investment Operations, A••• · since Nov 1, 2021 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- D•••• P•• C••• L•• · Head Of Compliance · since Jul 1, 2012 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- L••• W•• L• · Global Head Of Tax And Chief Financial Officer, A••• · since Jul 1, 2024 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
17 former (kept with end dates)
- A•••••• G••••• F•••• · Chief Executive Officer & Director · Aug 1, 2019 to Dec 13, 2021 Inference
- R••••• M••••• · Chief Executive Officer & Director · Apr 1, 2011 to Dec 12, 2018 Inference
- C•• W•• T••• · Head Of Operations - A••• Ex J••••, T••••• · Jun 1, 2017 to Dec 13, 2021 Inference
- R•••••• S•• L•• H•••• · Head Of Operations · Jan 1, 2012 to Jun 29, 2017 Inference
- E•••••• S••• · Chief Legal And Compliance Officer · Oct 1, 2005 to Feb 12, 2013 Inference
- H•• W•• T•••••• N• · Head Of Finance - A••• Ex J••••, T••••• · Jun 1, 2017 to Mar 26, 2019 Inference
- J••••• S•••••• B••• · Head Of Finance · Sep 1, 2022 to Jul 25, 2024 Inference
- J••••••• Z••••• T••••••••• · Chief Operating Officer · Nov 1, 2016 to Apr 25, 2019 Inference
- K••• C••• · Chief Compliance Officer · Jul 1, 2011 to Apr 26, 2012 Inference
- M•••••• X•••••• C•••• · Financial Controller · May 1, 2007 to Mar 27, 2014 Inference
- W••• K••• W••• · Head Of Finance, A••• · May 1, 2019 to Sep 9, 2022 Inference
- Y•• C••• Y•• · Chief Financial Officer · Sep 1, 2013 to Aug 4, 2016 Inference
- A••••• L•• · Director · Jul 1, 2011 to Mar 27, 2023 Inference
- D•••• T••••• J•••• · Director · Apr 1, 2012 to Mar 24, 2015 Inference
- G••••• R••••• H••••• · Director · Feb 1, 2011 to Apr 26, 2016 Inference
- G•••••• A••••• E•••• · Director · Dec 1, 2018 to Aug 20, 2019 Inference
- W•• J•• N••••• · Director · Dec 1, 2010 to Mar 12, 2012 Inference
Portfolio
31 relationships, 0 platforms, 0 add-ons
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
1 relationships
Placement agents (1)
- P••••••••• S••••••••• L•• 1 shared · one time · last Jan 1, 2021
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
1 most recent
- Feb 15, 2012••• Locked