DFX Intelligence
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P•••••• L••• F••• A••••••• L••
Hybrid managerClassification probableunsizedSEC registered investment adviser· Newport Beach, CAp••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $43B
- PE fund assets
- Not established
- PE funds
- 0
- Investments held
- Not established
- Deals, last 12 months
- Not established
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Why this matters
- Graphs 3
- RAUM $43B
Classification
How this organization is classified, and on what basisHybrid manager · 1 in historyShowHide
- Class
- Hybrid managerprobable, confidence 65%
- Basis
- R4: Private Equity Funds are 0 of 7 distinct vehicles; hedge, securitized or liquidity vehicles 6
- Size band
- unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Classification history (1)
- Sep 13, 2026Hybrid manager (probable, 65%, cls-pe-1)R4: Private Equity Funds are 0 of 7 distinct vehicles; hedge, securitized or liquidity vehicles 6
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Nov 18, 2011 to Mar 11, 2026
- RAUM
- $43Bregulatory 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
- $60.6Mevery 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
- 0%
- Fund type mix
- filed 2024-03-18, latest gav Other Private Fund $54.8M, latest counts Other Private Fund 1, lifetime distinct Hedge Fund 3, Other Private Fund 1, Securitized Asset Fund 3
- Employees
- 19
- Headquarters
- Newport Beach, CA
- Office address
- ••• Locked
- Business phone
- ••• Locked
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
- ••• Locked
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 |
|---|---|---|---|---|---|---|
| P•••••• A•••• M••••••••• B••• L••• F••• L••• ADV: Hedge Fund | Credit fund | 2014 first reported on Form ADV | $862M as of Mar 29, 2019 | no Form D | Active deployment |
Team
3 current, 7 former
Vice president (1)
- H••••• T•••• H••••••• · Senior Vice President · since Dec 1, 2014 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (2)
- A••••• L•• C•••• · Fund Advisor General Counsel · since Apr 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- L•••••• E••• M••••••• · Chief Compliance Officer · since Jul 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
7 former (kept with end dates)
- J•••• T••••• M••••• · Chief Executive Officer · May 1, 2007 to Mar 30, 2016 Inference
- K•••• T•••• T••• · President · Apr 1, 2012 to Mar 30, 2016 Inference
- A••••• S•••• G••••• · Executive Vice President & Chief Financial Officer · Apr 1, 2012 to Mar 30, 2016 Inference
- R•••• S•• Y•••• · Fund Advisor General Counsel · May 1, 2007 to Mar 27, 2023 Inference
- S••••• a• C•••••• · Senior Vice President & General Counsel · Jan 1, 2008 to Mar 30, 2016 Inference
- S••••• E•• P•••••• · Vice President And Chief Compliance Officer And Ethics Officer · May 1, 2007 to Jul 1, 2022 Inference
- M•••••• B•••• · Executive Vice President · Jan 1, 2016 to Mar 30, 2018 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
- Nov 18, 2011••• Locked
Across the graphs
P•••••• L••• F••• A••••••• L•• is the same institution as 3 records in Independent Sponsors, RIA and Wealth and Private Credit.
Independent Sponsors1RIA and Wealth1Private Credit1
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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