DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get Private Equity Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

C•••••• A••••••••• S•••••••• O••••••••• M••••••••• L••

Buyout firmClassification probableunsizedSEC registered investment adviser· New York, NYt•••••••••.com

Buyout firm, running SECONDARIES, based in New York, NY.

Composed from this firm's filed classification and location. It has no published description on record.

As of 2026-09-17 · identity and classification; each section below carries its own date

Regulatory AUM: $175M
PE fund assets: $175M
PE funds: 3
Investments held: Not established
Deals, last 12 months: Not established

Funds and vehicles Team (2)Transactions

As of 2026-09-17 · identity and classification; each section below carries its own date

Why this matters

Also held on 1 other DFX graph, so its behaviour can be read from more than one side.
Graphs 1
Reported $175M of regulatory assets at its last Form ADV filing.
2013-08-14
RAUM $175M

Classification

How this organization is classified, and on what basisBuyout firm · 1 in historyShow

Class: Buyout firmprobable, confidence 65%
Basis: R6: 3 of 3 distinct vehicles are sworn Private Equity Funds
Size band: unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Strategies: SECONDARIES

Classification history (1)

Sep 13, 2026
Buyout firm (probable, 65%, cls-pe-1)
R6: 3 of 3 distinct vehicles are sworn Private Equity Funds

Regulatory footprint (Form ADV)

Adviser type: registered investment adviser
Form ADV filings: Sep 7, 2012 to Aug 14, 2013
RAUM: $175Mregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 3
PE fund GAV, latest filing: $175Mreported gross assets (Form ADV), not fund size
All private fund GAV: $175Mevery 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 2013-08-14, latest gav Private Equity Fund $175M, latest counts Private Equity Fund 3, lifetime distinct Private Equity Fund 3
Employees: 10
Headquarters: New York, NY
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: 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

2 on record, 1 more on the reporting tape

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	GAV by year	Form D sold	Lifecycle
C•••••• A••••••••• S•••••••• O••••••••• O•••••••• L••• ADV: Private Equity Fund	Secondaries fund	unknown	$65.0M as of Aug 14, 2013		no Form D	Early deployment
C••• C•••••••• a• L•• ADV: Private Equity Fund	Co-investment vehicle	unknown	$25.0M as of Aug 14, 2013		no Form D	Early deployment

Gross assets by year from the annual reporting tape

These funds appear in this adviser’s Form ADV reporting. One row per fund per year (the latest filing of that year). Values are reported gross assets, not fund size.

Fund	Type (ADV)	Years	Path	Latest reported GAV	Source
C•••••• A••••••••• S•••••••• O••••••••• L•••	Private Equity Fund	2012 to 2013		$85.0M filed Aug 14, 2013	adviserinfo.sec.gov

Team

2 current, 0 former

Managing partner (1)

L••••••• E••••• P••• · Managing Member & Managing Director · since Feb 1, 2011 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Platform (1)

J•••••• L•••• W•••••••• · Chief Compliance Officer · since Feb 1, 2012 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

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

2 most recent

Sep 1, 2026
••• Locked
Adviser off rosterInferenceSEC Form ADV monthly roster (registered + exempt reporting advisers)
Sep 7, 2012
••• Locked
First Form ADV filingFactSEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Scores and what they are made of

Freshness97 · HIGH: as of: 2026-09-23items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":0.9666666666666667,"evidence":"6 method: sum of component points, capped at 1.0
model score-pe-1
Research priority43 · MODERATE: as of: 2026-09-23items: [{"code":"SCALE_BAND","points":0.05,"evidence":"UNSIZED"},{"code":"COMPLETENESS_method: sum of component points, capped at 1.0
model score-pe-1
Investment velocity0 · LOW: as of: 2026-09-23items: []method: sum of component points, capped at 1.0
missing: no dated transactions
model score-pe-1
Acquisition appetite0 · LOW: as of: 2026-09-23items: []method: sum of component points, capped at 1.0
missing: no transactions on the graph for this firm yet
model score-pe-1
Profile completeness33 · MODERATE: as of: 2026-09-23items: [{"code":"FIELDS_PRESENT","points":0.3333333333333333,"evidence":["website","funmethod: sum of component points, capped at 1.0
missing: description, portfolio, transactions, stated criteria, lenders, intermediaries, lps, cross dfx
model score-pe-1
Fund deployment activity70 · ELEVATED: as of: 2026-09-23items: [{"code":"FUNDS_DEPLOYING","points":0.7,"caution":"deployment state is read frommethod: sum of component points, capped at 1.0
model score-pe-1

Across DFX

No link to the family office, independent sponsor or venture graphs yet. Links are made only on a shared identifier such as a CRD or CIK number.

Record

First observed: Sep 13, 2026
Last observed: 5 days ago
Observations: 19
Sources: 3
Open research tasks: 1

Reading this profile

Reported gross assets are what an adviser told the SEC a fund held on a date. They are not the fund’s size and not dry powder. RAUM is a regulatory measure of the adviser, not capital available to invest.

A section that says nothing has been collected means exactly that: the graph has not read that kind of record for this firm yet.

Across the graphs

C•••••• A••••••••• S•••••••• O••••••••• M••••••••• L•• 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.

Checking your plan…