DFX Intelligence
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L••••••••• C••••••
CandidateClassification candidateunsizedSEC registered investment adviser· Denver, CO
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $157M
- PE funds
- 0
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Nothing material in the last 180 days. Last change: 19 Mar 2025, Filed a Form D on 19 Mar 2025, the first public sign that a vehicle is taking commitments.
Classification, Form ADV and stated criteria
How this organization is classified, and on what basisCandidate · 2 in historyShowHide
- Class
- Candidatecandidate, confidence 40%
- Basis
- Admitted on 1 Private Equity Fund(s) among 5 vehicles; no rule fired
- Size band
- unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Classification history (2)
- Sep 23, 2026Candidate (candidate, 40%)Admitted on 1 Private Equity Fund(s) among 5 vehicles; no rule fired
- Sep 13, 2026Candidate (candidate, 40%)Admitted on 1 Private Equity Fund(s) among 4 vehicles; no rule fired
Regulatory footprint (Form ADV)RAUM $157M · 0 PE funds · filed Jul 7, 2026ShowHide
- Adviser type
- Registered investment adviser
- Form ADV filings
- Sep 26, 2018 to Jul 7, 2026
- RAUM
- $157Mregulatory 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
- $54.9Mevery 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
- 20%
- Fund type mix
- Other private fund: 4 funds, $54.9M reported gross assets
- Private equity fund: 1 ever reported
- Employees
- 7
- Headquarters
- Denver, CO
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour2 of 8 criteria stated · no observed deals yetShowHide
Stated by the firm
- Sectors
- Building products
- 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.
FundsHow vehicles are groupedFeeders, parallels, executive funds, alternative investment vehicles and lettered sleeves are folded under the fund they belong to, read from the vehicle names. Deal-by-deal co-investment vehicles are pooled. Current funds come first: families are ordered by vintage, newest first, among those holding at least a twentieth of the largest family’s assets, then by size. The figure is the sum of each vehicle’s latest reported gross assets on Form ADV, not a fund size.
2 families, 2 vehicles on record
L••••••••• L•••••••• F•••• L•• · 1 vehicle$0
- L••••••••• L•••••••• F•••• L•• buyout or unlabelled$0
L••••••••• I••••••••• F••• I•• L• · 1 vehicle · vintage 2023no GAV reported
- L••••••••• I••••••••• F••• I•• L• buyout or unlabelled · 2023
View all 2 vehiclesnewest vintage first, then largest
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| L••••••••• I••••••••• F••• I•• L• | buyout or unlabelled | 2023 Form D first sale | unknown | no reporting | $16.3M | Unknown |
| L••••••••• L•••••••• F•••• L•• ADV: Private Equity Fund | buyout or unlabelled | unknown | $0 as of Sep 1, 2020 | no Form D | Unknown |
TeamWhere the team comes fromEach row names its source in short; hover the source for its full description. Sources on this list: Investment organization websites (team, portfolio, strategy, criteria, news); SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites). A person named by two sources under two spellings is shown once, with both sources.
11 current, 0 former
- Equity Partner
- Life Settlements Portfolio Manager, Actuary, ACAS, CSPA
- Life Settlements Underwriting Manager
- Diversified Funds Portfolio Manager
- Partner, Policy Manager, Investment Advisor Representative · since Mar 1, 2019
Full team · 11 peoplegrouped by role, with sources
Managing partner (1)
- R•••••• A•••• M••••••••• · Managing Member, Cio & Investment Advisor Representative · since Sep 1, 2018 Form ADV Firm website
Partner (5)
- N••• P•••••• · Equity Partner · start date unknown Firm website
- E•••• M•••••••• · Life Settlements Portfolio Manager, Actuary, ACAS, CSPA · start date unknown Firm website
- L••••• N••••••• · Life Settlements Underwriting Manager · start date unknown Firm website
- S•• R••••• · Diversified Funds Portfolio Manager · start date unknown Firm website
- L•••• C•••••• F•••• · Partner, Policy Manager, Investment Advisor Representative · since Mar 1, 2019 Form ADV
Analyst (1)
- C••••• C••••• · Life Settlements Senior Analyst · start date unknown Firm website
Capital markets (1)
- N•• R••• · Partner, Capital Markets · start date unknown Firm website
Investor relations (1)
- A••••• C•••••• · Investor Relations Service Manager · start date unknown Firm website
Platform (2)
- A••••• N••••• C•••• · Chief Compliance Officer · since Sep 1, 2018 Form ADV Firm website
- S•••••••• S••••••••• C•• · Equity Partner, CCO · start date unknown Firm website
DealsHow deals are mergedOne row per deal. A portfolio relationship and a transaction that describe the same deal (the same transaction, or the same company on the same date) are printed once, with the columns of both. 0 portfolio relationships and 0 transactions are on this record.
0 on record, newest first · 0 platforms · 0 add-ons
No deal naming this firm has been collected yet. Deals arrive from the firm’s portfolio page, 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 commitmentsHow LPs are totalledOne line per LP, largest disclosed total first. A commitment that the same LP reports again in a later document is counted once in its total; both documents stay in the full list. Rows repeated line for line from one document are shown once.
0 LPs, 0 disclosed commitments
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
- Sep 26, 2018••• Locked
Across the graphs
L••••••••• C•••••• is the same institution as 3 records in Independent Sponsors, RIA and Wealth and Allocators.
Independent Sponsors1RIA and Wealth1Allocators1
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.
Checking your plan…
Not yet on record: PE fund assets, investments held, deals, last 12 months.