DFX Intelligence
Private Equity Intelligence
Firms, funds, people, portfolio companies and transactions from sworn filings and cited announcements, kept as a graph with a date and a source on every edge. Reported gross assets are never fund size, regulatory AUM is never dry powder, and a deal value prints only when someone disclosed it.
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Firms / S••••••• D••• P•••••••• L••
S••••••• D••• P•••••••• L••
Special situations · probableLower middle marketBurlingame, CAs•••••••••.comSEC registered investment adviser
Classification
- Class
- Special situationsprobable, confidence 70%
- Basis
- R2: 4 of 5 private equity vehicles are named special situations
- Size band
- Lower middle marketdefined by: proxy: $0.10bn Private Equity Fund GAV on the Form ADV filed 2024-03-29
- Strategies
- PRIVATE CREDIT, SPECIAL SITUATIONS
Classification history (1)
- Sep 13, 2026Special situations (probable, 70%, cls-pe-1)R2: 4 of 5 private equity vehicles are named special situations
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Jul 15, 2014 to Mar 29, 2024
- RAUM
- $1.1Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 5
- PE fund GAV, latest filing
- $99.7Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $1.1Bevery private fund type, latest filing
- 2024 PE fund GAV
- $99.7Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 21%
- Fund type mix
- filed 2024-03-29, latest gav Hedge Fund $786M, Other Private Fund $185M, Private Equity Fund $99.7M, latest counts Hedge Fund 4, Other Private Fund 10, Private Equity Fund 5, lifetime distinct Hedge Fund 9, Other Private Fund 10, Private Equity Fund 5
- Employees
- 14
- Headquarters
- Burlingame, CA
- Office address
- 1350 BAYSHORE HWY, STE 905, Burlingame, CA, 94010
- Business phone
- 415-636-9250
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
5 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| S•• S•••••• S••••••••• L•• • S••••• S• ADV: Private Equity Fund | Special situations fund | 2024 first reported on Form ADV | $1.6M as of Mar 29, 2024 | no Form D | Unknown | |
| S•• S•••••• S••••••••• L•• • S••••• L• ADV: Private Equity Fund | Special situations fund | 2023 first reported on Form ADV | $4.4M as of Mar 29, 2024 | no Form D | Early deployment | |
| S•• S•••••• S••••••••• L•• • S••••• J• ADV: Private Equity Fund | Special situations fund | 2022 first reported on Form ADV | $11.9M as of Mar 29, 2024 | no Form D | Early deployment | |
| S•• S•••••• S••••••••• L•• • S••••• I• ADV: Private Equity Fund | Special situations fund | 2022 first reported on Form ADV | $10.2M as of Mar 29, 2024 | no Form D | Unknown | |
| S••••••• D••• C••••• O••••••••• F••• I• L•• ADV: Private Equity Fund | Credit fund | 2021 first reported on Form ADV | $71.6M as of Mar 29, 2024 | no Form D | Active deployment |
Team
4 current, 1 former
Managing partner (1)
- Q••• M•••••• A••• · Chief Executive Officer And Chief Investment Officer · since Mar 1, 2014 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Partner (1)
- S•••• R•• C•••••••• · Investment Partner · since Jan 1, 2024 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (2)
- B•••••• J•••• P••••• · Chief Compliance Officer And Controller · since Jan 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- C••••••• M••••••• N••••• · Chief Financial Officer · since Feb 1, 2016 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
1 former (kept with end dates)
- K••• C•••••• D•••• · Chief Operating Officer And Chief Compliance Officer · Mar 1, 2014 to Feb 2, 2018 Inference
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
- Jun 30, 2026S••••••• D••• P•••••••• L••: Private Equity Funds on Form ADV 5 (2024 extract) -> 8 (roster 2026-09-01)
- Jul 15, 2014S••••••• D••• P•••••••• L•• first filed Form ADV in the extract (IA)
Across the graphs
S••••••• D••• P•••••••• 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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