DFX Intelligence
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P•••••• C•••••• G••••
Buyout firmClassification probableLower middle marketSEC registered investment adviser· Tacoma, WA
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $404M
- PE fund assets
- $404M
- PE funds
- 1
- Investments held
- 7 of 7
- Deals, last 12 months
- Not established
Form ADV
Form ADV
Form ADV
DFX transaction tape
As of · identity and classification; each section below carries its own date
Why this matters
- Graphs 1
- RAUM $404M
Classification
How this organization is classified, and on what basisBuyout firm · 1 in historyShowHide
- Class
- Buyout firmprobable, confidence 65%
- Basis
- 2 of 3 distinct vehicles are sworn Private Equity Funds; 1 reported gross assets on a filing in 2022 or later
- Size band
- Lower middle marketdefined by: proxy: $0.40bn Private Equity Fund GAV on the Form ADV filed 2023-09-19
Classification history (1)
- Sep 13, 2026Buyout firm (probable, 65%)2 of 3 distinct vehicles are sworn Private Equity Funds; 1 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)
- Adviser type
- Registered investment adviser
- Form ADV filings
- Mar 30, 2012 to Sep 19, 2023
- RAUM
- $404Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 1
- PE fund GAV, latest filing
- $404Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $404Mevery 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
- 67%
- Fund type mix
- Private equity fund: 1 fund, $404M reported gross assets, 2 ever reported
- Hedge fund: 1 ever reported
- Employees
- 15
- Headquarters
- Tacoma, WA
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
7 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
- ••• Locked
Observed from deals on record
- On record
- 7 companies, 7 holdings
- Deal roles
- 7 with role not stated
- Control
- 7 not stated
7 companies on the graph (0 transactions); no dated observations
Funds
2 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| N••••••• L••••• M••••• L•• ADV: Private Equity Fund | buyout or unlabelled | 2015 first reported on Form ADV | $404M as of Sep 19, 2023 | no Form D | Mature | |
| N••••••• L••••• C•••••• P•••••••• L•• ADV: Private Equity Fund | Buyout fund | unknown | $123M as of Jan 23, 2015 | no Form D | Wound down |
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.
12 current, 5 former
Managing partner (1)
- J••••• A•••• · Chair · start date unknown Firm website
Partner (4)
- G••• N••• · Chief Investment Officer (US) · start date unknown Firm website
- M•••••• C••••• · Managing Director · start date unknown Firm website
- P••• R•••••• G•••••••• · Managing Director · since May 1, 2010 Form ADV
- T•••• E••••••• · Managing Director · since Mar 1, 2016 Form ADV
Principal (1)
- J••••• D••••• · Non-Executive Director · start date unknown Firm website
Platform (6)
- D•••••• N•••• · Financial Controller · start date unknown Firm website
- H•••• S• · Accounting Manager · start date unknown Firm website
- J•••••••• J••••• · Head of Finance - Reporting · start date unknown Firm website
- J••• D•••• G••••••• · Chief Compliance Officer/General Counsel · since Mar 1, 2013 Form ADV
- R•• P•••• · Chief Financial Officer · start date unknown Firm website
- S••••• W••••••• · Company Secretary · start date unknown Firm website
5 former (kept with end dates)
- A••••• L•••• T••••• · Chairman; Managing Member · May 1, 2010 to Feb 22, 2013 Inference
- J••• C•••••••• S•••• · Managing Director · May 1, 2010 to May 6, 2016 Inference
- J••• W••••••••• Z•••••••• · Managing Director · May 1, 2010 to Mar 28, 2013 Inference
- T•••••• J•••• C••••• · Managing Director · May 1, 2010 to May 6, 2016 Inference
- C••••••••• F•••• · Chief Financial Officer · May 1, 2010 to Mar 31, 2014 Inference
Portfolio
7 relationships, 0 platforms, 0 add-ons
| Company | Role | Status | Invested | Held | Partner | Source |
|---|---|---|---|---|---|---|
| A•••••• C•••••• P••••••• | Role unknown | active | unknown | unknown | unknown | Fact Firm website |
| I••••••••• F•••••••• P••••••• G••••• L•• | Role unknown | active | unknown | unknown | unknown | Fact Firm website |
| N••••••• L••••• A••••••••• A••••••• | Role unknown | active | unknown | unknown | unknown | Fact Firm website |
| P••••••••• C•••••• M••••••••• | Role unknown | active | unknown | unknown | unknown | Fact Firm website |
| R•• P••••••• | Role unknown | active | unknown | unknown | unknown | Fact Firm website |
| T•• I••••••• M••••••• C•••••• ••••••••• E•• G••••• I••••••••• | Role unknown | active | unknown | unknown | unknown | Fact Firm website |
| V•••••• P••• C•••••• A•••••••• L•• | Role unknown | active | unknown | unknown | unknown | Fact Firm website |
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
2 most recent
Across the graphs
P•••••• C•••••• G•••• 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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