DFX Intelligence
Private Equity Intelligence
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Firms / A•••• I••••••••• C••••••• I•••
A•••• I••••••••• C••••••• I•••
Classification
- Class
- Buyout firmprobable, confidence 65%
- Basis
- R6: 1 of 1 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: 1 of 1 distinct vehicles are sworn Private Equity Funds
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Feb 28, 2012 to Aug 14, 2024
- RAUM
- $143Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 0
- PE fund GAV, latest filing
- unknownreported gross assets (Form ADV), not fund size
- All private fund GAV
- unknownevery 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 2024-08-14, latest gav , latest counts , lifetime distinct Private Equity Fund 1
- Employees
- 7
- Headquarters
- New York, NY
- Office address
- 61 BROADWAY, SUITE 1910, New York, NY, 10006-2761
- Business phone
- 212-425-7500
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
1 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| T•• A•••• D••••••••• E••••• F•••• L•••••• P••••••••• ADV: Private Equity Fund | buyout or unlabelled | unknown | $29,755 as of May 17, 2017 | no Form D | Mature |
Team
13 current, 3 former
Managing partner (3)
- F••• L•••••• D••••• · President · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••• E••• · Chief Executive Officer · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- S••••• D• W•••••• · Chairman, President, Secretary And Director · since Jul 1, 1991 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Partner (1)
- S•••• B••••• · Managing Director · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Principal (2)
- D•••• D• C•••••• · Director · since Jul 1, 1991 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- J•••• K•••••••• C•• · Director of R••••••• · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Vice president (1)
- D•••• D• C•••••• · Vice President & Senior Editor · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Business development (1)
- R•••••• C•••• · Director of Business Development · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Platform (4)
- B••• L••• · Chief Information Officer · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- K•••• M•••••• H••• · Cco · since Nov 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- K•••• M•••••• H••• · Chief Compliance Officer · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- R•••••• C•••• · Chief Operating Officer · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Other (1)
- C•••• G••••• C•• · Chief Economist · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
3 former (kept with end dates)
- S••• J• T••••••• · Chief Compliance Officer · Jan 1, 2015 to Jan 8, 2019 Inference
- F••• L•••••• D••••• · Treasurer And Director · Jul 1, 1991 to Jan 25, 2018 Inference
- J••••• F••••• D••••• · Director · Oct 1, 1960 to Jan 28, 2015 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
1 most recent
- Feb 28, 2012A•••• I••••••••• C••••••• I••• first filed Form ADV in the extract (IA)
Across the graphs
A•••• I••••••••• C••••••• 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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