DFX Intelligence
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O•• C•••• A•••• M••••••••• L•••
Hybrid managerClassification probableLower middle marketSEC registered investment adviser· New York, NY
Hybrid manager, based in New York, NY.
Composed from this firm's filed classification and location. It has no published description on record.
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $2.5B
- PE fund assets
- $49.7M
- PE funds
- 1
Form ADV
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
What matters now
- +1funds on Form ADV
Private equity funds on its Form ADV went from 0 to 1 (+1).
New vehicles are a new flagship's feeders, parallels and co-invest sleeves being stood up: capacity arriving before the capital is announced.
Classification, Form ADV and stated criteria
How this organization is classified, and on what basisHybrid manager · 2 in historyShowHide
- Class
- Hybrid managerprobable, confidence 65%
- Basis
- Private Equity Funds are 2 of 19 distinct vehicles; hedge, securitized or liquidity vehicles 17
- Size band
- Lower middle marketdefined by: proxy: $0.05bn Private Equity Fund GAV on the Form ADV filed 2026-04-10
Classification history (2)
- Sep 23, 2026Hybrid manager (probable, 65%)Private Equity Funds are 2 of 19 distinct vehicles; hedge, securitized or liquidity vehicles 17
- Sep 13, 2026Hybrid manager (probable, 65%)Private Equity Funds are 1 of 17 distinct vehicles; hedge, securitized or liquidity vehicles 16
Regulatory footprint (Form ADV)RAUM $2.5B · 1 PE funds · filed Apr 10, 2026ShowHide
- Adviser type
- Registered investment adviser
- Form ADV filings
- Feb 29, 2012 to Apr 10, 2026
- RAUM
- $2.5Bregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 1
- PE fund GAV, latest filing
- $49.7Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $2.4Bevery private fund type, latest filing
- 2024 PE fund GAV
- $88.4Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 11%
- Fund type mix
- Hedge fund: 6 funds, $2.3B reported gross assets, 17 ever reported
- Private equity fund: 1 fund, $49.7M reported gross assets, 2 ever reported
- Employees
- 28
- Headquarters
- New York, NY
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviourno criteria stated · no observed deals yetShowHide
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.
FundsHow vehicles are groupedFeeders, parallels, executive funds, alternative investment vehicles and lettered sleeves are folded under the fund they belong to, read from the vehicle names. Deal-by-deal co-investment vehicles are pooled. Current funds come first: families are ordered by vintage, newest first, among those holding at least a twentieth of the largest family’s assets, then by size. The figure is the sum of each vehicle’s latest reported gross assets on Form ADV, not a fund size.
2 families, 2 vehicles on record
O•• C•••• A••••••• O••••••••• F•••• L••• · 1 vehicle · vintage 2025$49.7M
- O•• C•••• A••••••• O••••••••• F•••• L••• buyout or unlabelled · 2025$49.7M
O•• C•••• E•• F•••• L••• · 1 vehicle · vintage 2023$38.7M
- O•• C•••• E•• F•••• L••• buyout or unlabelled · 2023$38.7M
View all 2 vehiclesnewest vintage first, then largest
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| O•• C•••• A••••••• O••••••••• F•••• L••• ADV: Private Equity Fund | buyout or unlabelled | 2025 Form D first sale | $49.7M as of Apr 10, 2026 | $50.7M | Unknown | |
| O•• C•••• E•• F•••• L••• ADV: Private Equity Fund | buyout or unlabelled | 2023 Form D first sale | $38.7M as of Apr 3, 2024 | $24.1M | Unknown |
TeamWhere the team comes fromEach row names its source in short; hover the source for its full description. Sources on this list: 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.
6 current, 7 former
- Managing Member · since Aug 1, 2001
- Limited Partner / Managing Director · since Jan 1, 2006
- Limited Partner / Managing Director / Chief Administrative Officer · since Dec 1, 2001
- Limited Partner / General Counsel & Co-Chief Operating Officer · since Mar 1, 2021
- Limited Partner / Chief Financial Officer & Co-Chief Operating Officer · since Jan 1, 2011
Full team · 6 peoplegrouped by role, with sources
Managing partner (1)
- J•••••• A••• A••••• · Managing Member · since Aug 1, 2001 Form ADV
Partner (1)
- D••••• E••••• K•••••• · Limited Partner / Managing Director · since Jan 1, 2006 Form ADV
Platform (4)
- D••••• J•• S•••••• · Limited Partner / Managing Director / Chief Administrative Officer · since Dec 1, 2001 Form ADV
- K•••• M•••••• D••••• · Limited Partner / General Counsel & Co-Chief Operating Officer · since Mar 1, 2021 Form ADV
- M••••••• F••• · Limited Partner / Chief Financial Officer & Co-Chief Operating Officer · since Jan 1, 2011 Form ADV
- S•••••• I•• B••• · Chief Compliance Officer · since Jan 1, 2012 Form ADV
7 former (kept with end dates)
- E••••• C•••••••• S••• · P•••••• • O•• C•••• E••••• M••••••••• L•• · Oct 1, 2010 to Nov 28, 2012 Inference
- J•••••• F••••• L•• · Managing Director · Jul 1, 2007 to Nov 10, 2015 Inference
- R•• L••••••• · P•••••• • O•• C•••• E••••• M••••••••• L••• · Oct 1, 2010 to Nov 28, 2012 Inference
- S••• S•••• T••••• · Managing Director · Jan 1, 2006 to Jul 17, 2012 Inference
- A•••••• O••••• · R••••••••• O•••••• O•• C•••• H••• K••• L•••••• · Dec 1, 2014 to Apr 20, 2017 Inference
- C••••••••• M•• F••• W••• · R••••••••• O•••••• O•• C•••• H••• K••• L•••••• · May 1, 2011 to Apr 20, 2017 Inference
- R••••• K•••• · General Counsel · Mar 1, 2012 to Mar 31, 2021 Inference
DealsHow deals are mergedOne row per deal. A portfolio relationship and a transaction that describe the same deal (the same transaction, or the same company on the same date) are printed once, with the columns of both. 0 portfolio relationships and 0 transactions are on this record.
0 on record, newest first · 0 platforms · 0 add-ons
No deal naming this firm has been collected yet. Deals arrive from the firm’s portfolio page, 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 commitmentsHow LPs are totalledOne line per LP, largest disclosed total first. A commitment that the same LP reports again in a later document is counted once in its total; both documents stay in the full list. Rows repeated line for line from one document are shown once.
0 LPs, 0 disclosed commitments
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
O•• C•••• A•••• M••••••••• 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.
Checking your plan…
Not yet on record: investments held, deals, last 12 months.