DFX Intelligence

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R••••••• C•••••• M••••••••• L•••

Buyout firmClassification confirmedLower middle marketSEC registered investment adviser· New York, NY

Buyout firm, based in New York, NY.

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

As of 2026-09-13 · identity and classification; each section below carries its own date

Regulatory AUM: $233M
PE fund assets: $239M
PE funds: 2
Investments held: Not established
Deals, last 12 months: Not established

Funds and vehicles Team (1)Transactions

As of 2026-09-13 · identity and classification; each section below carries its own date

Why this matters

Also held on 3 other DFX graphs, so its behaviour can be read from more than one side.
Graphs 3
Reported $233M of regulatory assets at its last Form ADV filing.
2026-03-26
RAUM $233M

Classification

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

Class: Buyout firmconfirmed, confidence 85%
Basis: R6: 2 of 2 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: $0.24bn Private Equity Fund GAV on the Form ADV filed 2024-03-27

Classification history (1)

Sep 13, 2026
Buyout firm (confirmed, 85%, cls-pe-1)
R6: 2 of 2 distinct vehicles are sworn P•••••• 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: Sep 28, 2020 to Mar 26, 2026
RAUM: $233Mregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 2
PE fund GAV, latest filing: $239Mreported gross assets (Form ADV), not fund size
All private fund GAV: $233Mevery private fund type, latest filing
2024 PE fund GAV: $239Msum over funds typed Private Equity Fund with a 2024 or later as-of date
PE share of funds, lifetime: 100%
Fund type mix: filed 2024-03-27, latest gav Private Equity Fund $239M, latest counts Private Equity Fund 2, lifetime distinct Private Equity Fund 2
Employees: 4
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

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	GAV by year	Form D sold	Lifecycle
R••••••• C•••••• P•••••••• L••• ADV: P•••••• Equity Fund	buyout or unlabelled	2022 first reported on Form ADV	$139M as of Mar 27, 2024		no Form D	Unknown
V•••••• P•••••• C•••••• P•••••••• L••• ADV: P•••••• Equity Fund	Buyout fund	unknown	$99.4M as of Mar 27, 2024		no Form D	Mature

Team

1 current, 0 former

Managing partner (1)

S••• A••• C•••• · Managing Member · since Feb 1, 2015 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

1 most recent

Sep 28, 2020
••• 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

Freshness95 · HIGH: as of: 2026-09-22items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":0.95,"evidence":"9 days"}]method: sum of component points, capped at 1.0
model score-pe-1
Research priority58 · ELEVATED: as of: 2026-09-22items: [{"code":"SCALE_BAND","points":0.2,"evidence":"LOWER_MIDDLE_MARKET"},{"code":"COmethod: sum of component points, capped at 1.0
model score-pe-1
Investment velocity0 · LOW: as of: 2026-09-22items: []method: sum of component points, capped at 1.0
missing: no dated transactions
model score-pe-1
Acquisition appetite0 · LOW: as of: 2026-09-22items: []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: 2026-09-22items: [{"code":"FIELDS_PRESENT","points":0.3333333333333333,"evidence":["funds","team"method: sum of component points, capped at 1.0
missing: website, description, portfolio, transactions, stated criteria, lenders, intermediaries, lps
model score-pe-1
Fund deployment activity0 · LOW: as of: 2026-09-22items: []method: sum of component points, capped at 1.0
model score-pe-1

Across DFX

Independent Sponsor Intelligence (matched on shared crd)
Venture Capital Intelligence (matched on shared crd)

Record

First observed: Sep 13, 2026
Last observed: 8 days ago
Observations: 21
Sources: 2
Open research tasks: 2

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

R••••••• C•••••• M••••••••• L••• is the same institution as 3 records in Venture Capital, Independent Sponsors and RIA and Wealth.

Venture Capital1Independent Sponsors1RIA 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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