DFX Intelligence
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N•••••• G••••• A••••••• L•••
Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· The Woodlands, TXn•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $175M
- PE fund assets
- $135M
- PE funds
- 2
- Investments held
- 0 of 4
- 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
- Control control
- Graphs 3
- RAUM $175M
Classification
How this organization is classified, and on what basisBuyout firm · 1 in historyShowHide
- Class
- Buyout firmconfirmed, confidence 85%
- Basis
- R6: 5 of 8 distinct vehicles are sworn Private Equity Funds; 2 reported gross assets on a filing in 2022 or later
- Size band
- Lower middle marketdefined by: proxy: $0.13bn Private Equity Fund GAV on the Form ADV filed 2024-09-19
Classification history (1)
- Sep 13, 2026Buyout firm (confirmed, 85%, cls-pe-1)R6: 5 of 8 distinct vehicles are sworn Private Equity Funds; 2 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Nov 22, 2011 to Jul 9, 2026
- RAUM
- $175Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 2
- PE fund GAV, latest filing
- $135Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $112Mevery private fund type, latest filing
- 2024 PE fund GAV
- $135Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 63%
- Fund type mix
- filed 2024-09-19, latest gav Hedge Fund $108M, Private Equity Fund $135M, latest counts Hedge Fund 3, Private Equity Fund 2, lifetime distinct Hedge Fund 3, Private Equity Fund 5
- Employees
- 8
- Headquarters
- The Woodlands, TX
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
4 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
- $50.0M to $750M
- Equity check
- not stated or not yet read
- Control
- control
- Thesis
- ••• Locked
Observed from deals on record
- roles
- unknown 4
- period
- to unknown, from unknown, undated holdings 4, dated observations 0
- window
- last unknown, first unknown
- control
- unknown 4
- companies
- 4
- geography
- investments
- 4
- seller kinds
- transactions
- 0
- cadence by year
- platform add on
- add ons 0, platforms 0, add ons per platform unknown
- sector known for
- 3
- disclosed value usd
- n 0
- sector distribution
- count 2, share 0.5, value industrial services, examples Amtrol, Jacuzzi, count 1, share 0.25, value industrial manufacturing, examples Autocam Transportation
- holding period years
- n 0
- repeat counterparties
- subsector distribution
- count 2, share 0.5, value hvac plumbing mechanical, examples Amtrol, Jacuzzi, count 1, share 0.25, value fabricated metal products, examples Autocam Transportation
4 companies on the graph (0 transactions); most in industrial services (2); no dated observations
Funds
5 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| N•••••• G••••• O••••••••• F••• I•• L• ADV: Private Equity Fund | Feeder or parallel | 2016 first reported on Form ADV | $134M as of Sep 19, 2024 | no Form D | Harvest | |
| N•••••• F••••• F••• I•• L• ADV: Private Equity Fund | Feeder or parallel | 2016 first reported on Form ADV | $872,764 as of Sep 19, 2024 | no Form D | Harvest | |
| N•••••• G••••• O••••••••• F••• L• ADV: Private Equity Fund | buyout or unlabelled | unknown | $6.7M as of Feb 10, 2020 | no Form D | Wound down | |
| N•••••• F••••• F••• L• ADV: Private Equity Fund | Feeder or parallel | unknown | $834,077 as of Feb 10, 2020 | no Form D | Wound down | |
| N•••••• O••••••• F••••• F••• L• ADV: Private Equity Fund | Feeder or parallel | unknown | $706,358 as of Feb 10, 2020 | no Form D | Wound down |
Team
8 current, 3 former
Managing partner (1)
- T•••••• T• J•••••• · President, Ceo And Manager · since Sep 1, 2010 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Partner (2)
- K•••• M•••••• R•• · Managing Director · 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)
- R••• L• L•••••• · Senior Managing Director, Manager · since Sep 1, 2010 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (4)
- A••••• L••• M••• · Director Of Finance · since May 1, 2024 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- A••••• L••• M••• · Director of Finance · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- P•••• M••••• · Executive Assistant · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- R•••• a• M•• · Managing Director; Chief Compliance Officer; Chief Operating Officer · since May 1, 2024 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Other (1)
- S••••••• S••••••• · Staff Accountant · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
3 former (kept with end dates)
- R•••• a• M•• · Senior Advisor · Jan 1, 2017 to Mar 31, 2018 Inference
- A•••••• L•••• · Managing Director, Chief Operating Officer, Chief Compliance Officer · Jan 1, 2017 to Jun 26, 2023 Inference
- S•••• L••••• P••••• · Chief Financial Officer, Chief Compliance Officer · Jan 1, 2021 to May 13, 2024 Inference
Portfolio
4 relationships, 0 platforms, 0 add-ons
| Company | Role | Status | Invested | Held | Partner | Source |
|---|---|---|---|---|---|---|
| A••••• | Role unknown | exited | unknown | unknown | unknown | Fact Investment organization websites (team, portfolio, strategy, criteria, news) |
| A•••••• T••••••••• | Role unknown | exited | unknown | unknown | unknown | Fact Investment organization websites (team, portfolio, strategy, criteria, news) |
| E••••••• r•••••• | Role unknown | exited | unknown | unknown | unknown | Fact Investment organization websites (team, portfolio, strategy, criteria, news) |
| J•••••• | Role unknown | exited | unknown | unknown | unknown | Fact Investment organization websites (team, portfolio, strategy, criteria, news) |
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 22, 2011••• Locked
Across the graphs
N•••••• G••••• 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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