DFX Intelligence
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S•• C•••••• P•••••••
Buyout firmClassification probableLower middle marketSEC registered investment adviser· Rye, NYs•••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $477M
- PE fund assets
- $967M
- PE funds
- 9
- Investments held
- 14 of 14
- Deals, last 12 months
- 0
Form ADV
Form ADV
Form ADV
DFX transaction tape
DFX transaction tape
As of · identity and classification; each section below carries its own date
Why this matters
- EBITDA $3.0M to $20.0MRevenue $10.0M to $100MSectors industrials,life_sciences,technology,energy
- Graphs 2
- Placement agents 1
Classification
How this organization is classified, and on what basisBuyout firm · 3 in historyShowHide
- Class
- Buyout firmprobable, confidence 80%
- Basis
- own website statement
- Size band
- Lower middle marketdefined by: proxy: $0.97bn Private Equity Fund GAV on the Form ADV filed 2024-03-29
Classification history (3)
- Sep 16, 2026
- Sep 16, 2026
- Sep 13, 2026Buyout firm (confirmed, 85%, cls-pe-1)R6: 17 of 17 distinct vehicles are sworn Private Equity Funds; 17 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Mar 29, 2012 to Jul 20, 2026
- RAUM
- $477Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 9
- PE fund GAV, latest filing
- $967Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $477Mevery private fund type, latest filing
- 2024 PE fund GAV
- $967Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 100%
- Fund type mix
- filed 2024-03-29, latest gav Private Equity Fund $967M, latest counts Private Equity Fund 15, lifetime distinct Private Equity Fund 17
- Employees
- 10
- Headquarters
- Rye, NY
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
11 observed deals
Stated by the firm
- Sectors
- industrials, life sciences, technology, energy
- Geography
- not stated or not yet read
- Revenue
- $10.0M to $100M
- EBITDA
- $3.0M to $20.0M
- Enterprise value
- not stated or not yet read
- Equity check
- not stated or not yet read
- Control
- not stated or not yet read
- Thesis
- ••• Locked
Observed from deals on record
- roles
- unknown 7, platform 7
- period
- to 2022-08-10, from 2017-10-17, undated holdings 0, dated observations 28
- window
- last 2022-08-10, first 2017-10-17
- control
- control 7, unknown 7
- companies
- 11
- geography
- count 2, share 0.182, value MA, count 1, share 0.091, value FL, count 1, share 0.091, value CA, count 1, share 0.091, value NC, count 1, share 0.091, value OH, count 1, share 0.091, value GA
- investments
- 14
- seller kinds
- founder 6
- transactions
- 14
- cadence by year
- 2017 other deals 1, 2018 platforms 1, other deals 1, 2019 other deals 3, 2021 other deals 5, 2022 other deals 3
- platform add on
- add ons 0, platforms 7, add ons per platform 0
- sector known for
- 3
- disclosed value usd
- n 0
- sector distribution
- count 1, share 0.091, value software, examples Information, count 1, share 0.091, value financial services, examples Granite River Labs, count 1, share 0.091, value industrial manufacturing, examples Caron Products and Services, Inc.
- holding period years
- n 0
- repeat counterparties
- subsector distribution
- count 1, share 0.091, value software, examples Information, count 1, share 0.091, value financial services, examples Granite River Labs, count 1, share 0.091, value miscellaneous manufacturing, examples Caron Products and Services, Inc.
11 companies on the graph (14 transactions); most in software (1); 7 platforms and 0 add-ons; observed 2017 to 2022
Funds
17 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| S•• C•••••• P••••••• F••• I••••• L••• ADV: Private Equity Fund | Buyout fund | 2023 first reported on Form ADV | $70.0M as of Mar 29, 2024 | no Form D | Unknown | |
| S•• C•••••• P••••••• F••• I•••• L••• ADV: Private Equity Fund | Buyout fund | 2023 first reported on Form ADV | $63.1M as of Mar 29, 2024 | no Form D | Unknown | |
| S•• C•••••• P••••••• C••••••••• I••• L••• ADV: Private Equity Fund | Co-investment vehicle | 2023 first reported on Form ADV | $30.2M as of Jun 1, 2023 | no Form D | Wound down | |
| S•• P•••• I•••• H•••••••• L•• ADV: Private Equity Fund | buyout or unlabelled | 2022 first reported on Form ADV | $21.7M as of Mar 29, 2024 | no Form D | Early deployment | |
| S•• C•••••• P••••••• F••• I•••• L• ADV: Private Equity Fund | Buyout fund | 2021 first reported on Form ADV | $39.7M as of Mar 29, 2024 | no Form D | Unknown | |
| G••••• C••••••••• L••• ADV: Private Equity Fund | Co-investment vehicle | 2021 first reported on Form ADV | $9.9M as of Mar 29, 2024 | no Form D | Unknown | |
| C•••••• C••••••••• L••• ADV: Private Equity Fund | Co-investment vehicle | 2021 first reported on Form ADV | $4.8M as of Mar 29, 2024 | no Form D | Unknown | |
| S•• G••••• C••••••••• L••• ADV: Private Equity Fund | Co-investment vehicle | 2021 first reported on Form ADV | $3.0M as of Mar 29, 2024 | no Form D | Unknown | |
| S•• C•••••• C••••••••• L••• ADV: Private Equity Fund | Co-investment vehicle | 2021 first reported on Form ADV | $1.2M as of Mar 29, 2024 | no Form D | Unknown | |
| P••••••• C••••••••• L••• ADV: Private Equity Fund | Co-investment vehicle | 2020 first reported on Form ADV | $57.3M as of Mar 29, 2024 | no Form D | Active deployment | |
| S•• P••••••• C••••••••• L••• ADV: Private Equity Fund | Co-investment vehicle | 2020 first reported on Form ADV | $15.9M as of Mar 29, 2024 | no Form D | Active deployment | |
| G•••• C••••••••• L•• ADV: Private Equity Fund | Co-investment vehicle | 2016 first reported on Form ADV | $200M as of Mar 29, 2024 | no Form D | Harvest | |
| S•• G•••• C•••••••• L• ADV: Private Equity Fund | Co-investment vehicle | 2016 first reported on Form ADV | $17.6M as of Jun 1, 2023 | no Form D | Wound down | |
| S•• C•••••• P••••••• F••• I•• L• ADV: Private Equity Fund | Buyout fund | 2015 first reported on Form ADV | $387M as of Mar 29, 2024 | no Form D | Unknown | |
| S•• C•••••• P••••••• C••••••••• I•• L••• ADV: Private Equity Fund | Co-investment vehicle | 2015 first reported on Form ADV | $37.2M as of Mar 29, 2024 | no Form D | Successor fundraising | |
| S•• C•••••• P••••••• C••••••••• L••• ADV: Private Equity Fund | Co-investment vehicle | 2015 first reported on Form ADV | $7.1M as of Mar 29, 2024 | no Form D | Mature | |
| S•• C•••••• P••••••• F•••• L••• ADV: Private Equity Fund | Buyout fund | unknown | $49.2M as of Mar 29, 2024 | no Form D | Mature |
Team
13 current, 5 former
Managing partner (2)
- R•••• C••• F•••••• · Co-Founder and Partner · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- T••••• P••••• S••••• · Co-Founder, Partner and Investment Committee Chairman · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Partner (7)
- A•••• S••••• · a Partner · start date unknown Press release wires (PR N•••wire, GlobeN•••wire, Business Wire public pages and RSS)
- A•••• S••••• · a Partner · start date unknown Press release wires (PR N•••wire, GlobeN•••wire, Business Wire public pages and RSS)
- A•••• S••••• · Partner · start date unknown Press release wires (PR N•••wire, GlobeN•••wire, Business Wire public pages and RSS)
- O•••• S••••• · a Partner · start date unknown Press release wires (PR N•••wire, GlobeN•••wire, Business Wire public pages and RSS)
- O•••• S••••• · a Partner · start date unknown Press release wires (PR N•••wire, GlobeN•••wire, Business Wire public pages and RSS)
- R•••• C••• F•••••• · Member · since Jan 1, 2015 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- T••••• P••••• S••••• · Member · since Jan 1, 2015 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Vice president (2)
- D•••• R•• · Vice President · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- R•••• B••• · Vice President · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Associate (1)
- J••• S•••• · Associate · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Platform (1)
- J••••• T•••••• · Chief Compliance Officer & Chief Financial Officer · since Nov 1, 2014 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
5 former (kept with end dates)
- N••••• E• W•••• · Managing Member And Operating Executive · Jul 1, 2005 to Feb 19, 2015 Inference
- P••••• V•••• · Managing Member · Jul 1, 2011 to Feb 19, 2015 Inference
- D•••• N••••• W••• · Member · Jul 1, 2005 to Mar 29, 2019 Inference
- N••• M•••• · Chief Compliance Officer & Chief Financial Officer · Jul 1, 2013 to Feb 19, 2015 Inference
- T•••• D• S•••• · Chief Compliance Officer And Chief Financial Officer · May 1, 2006 to Mar 26, 2014 Inference
Portfolio
14 relationships, 7 platforms, 0 add-ons
Transactions
16 on record
| Date | Type | Target | This firm’s role | Source |
|---|---|---|---|---|
| Aug 10, 2022 | Growth investment | S•••••• A••••••••• | Sponsor (confirmed) | s•••••.com |
| Aug 10, 2022 | Growth investment | S•••••• A••••••••• | Sponsor (confirmed) | s•••••.com |
| Feb 17, 2022 | Growth investment | R•• T••••••••• | Sponsor (confirmed) | s•••••.com |
| Jul 14, 2021 | Majority investment | C•••••• T••••••••• L••• | Sponsor (confirmed) | s•••••.com |
| May 20, 2021 | Majority recapitalization | P••• I••• | Sponsor (confirmed) | s•••••.com |
| May 12, 2021 | Majority recapitalization | G•••••• R•••• L••• | Sponsor (confirmed) | s•••••.com |
| Jan 13, 2021 | Majority recapitalization | C•••• P••••••• a•• S•••••••• I••• | Sponsor (confirmed) | s•••••.com |
| Jan 13, 2021 | Majority recapitalization | C•••• P••••••• a•• S•••••••• I••• | Sponsor (confirmed) | s•••••.com |
| Dec 19, 2019 | Majority recapitalization | M••••••••• I••••••••• C••••••••• | Sponsor (confirmed) | s•••••.com |
| Mar 7, 2019 | Growth investment | I••••••••• | Sponsor (confirmed) | s•••••.com |
| Mar 7, 2019 | Growth investment | I••••••••• | Sponsor (confirmed) | s•••••.com |
| Nov 28, 2018 | Platform acquisition | S•••••• S••••••••• | Sponsor (confirmed) | s•••••.com |
| May 23, 2018 | Growth investment | S•••••••• | Sponsor (confirmed) | s•••••.com |
| Oct 17, 2017 | Growth investment | D••••• I••• | Sponsor (confirmed) | s•••••.com |
| date unknown | Exit to a strategic buyer | M••••••••• I••••••••• C••••••••• | Seller (confirmed) | s•••••.com |
| date unknown | Exit to a strategic buyer | M••••••••• I••••••••• C••••••••• | Seller (confirmed) | s•••••.com |
Placement agents, lenders, advisers and co-investors
2 relationships
Placement agents (1)
- C••••• S••••• S••••••••• •••• L•• 1 shared · one time · last Jan 1, 2012
Financial advisers (1)
- T• C•••••• 1 shared · one time · last Dec 19, 2019
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
60 most recent
- Sep 16, 2026S•• C•••••• P••••••• Announces Sale of M••••••••• to Spectris
- Sep 16, 2026S•• C•••••• P••••••• Sells FILTEC
- Jul 20, 2026S•• C•••••• P••••••• L•: Private Equity Funds on Form ADV 15 (2024 extract) -> 9 (roster 2026-09-01)
- Jul 8, 2024Jul 8 2024 S•• N••• S•• C•••••• P••••••• Hires Peter Conzola to Lead Business Development
- Dec 22, 2022Dec 22 2022 Company N••• P••• Acquires BEE International
- Dec 12, 2022Dec 12 2022 Company N••• P••• Inc acquires Two Square Science adding new capabilities to an innovative portfolio for drug development
- Nov 10, 2022Nov 10 2022 Company N••• G•••••• R•••• L••• partners with CETECOM to accelerate wireless charging innovation in Germany
- Oct 27, 2022Oct 27 2022 SFW N••• C•••• P••••••• Names Tom Kroeger Global Director of Quality
- Oct 26, 2022Oct 26 2022 Company N••• S•••••• Appoints Jason Apter as CEO and Stephen Unger as CFO
- Oct 20, 2022Oct 20 2022 Company N••• Act! Names Jim Campbell as Chief Financial Officer and Chief Operations Officer
- Oct 5, 2022Oct 5 2022 Company N••• R•• T••••••••• Acquires Fastec Imaging
- Oct 4, 2022Oct 4 2022 S•• N••• S•• C•••••• P••••••• Sells Greenshades Software
- Sep 22, 2022Sep 22 2022 Company N••• R•• T••••••••• improves asset visibility, efficiency, and data acquisition with new Iris M™ + Stereo Vision
- Sep 22, 2022Sep 22 2022 Company N••• GRL Chief Strategy Officer Vamshi Kandalla joins Wireless Power Consortium Board of Directors
- Aug 10, 2022SFW N••• SFW Capital Completes Strategic Investment in S•••••• A•••••••••
- Aug 10, 2022SFW N••• SFW Capital Completes Strategic Investment in S•••••• A•••••••••
- Aug 10, 2022Aug 10 2022 SFW N••• SFW Capital Completes Strategic Investment in S•••••• A•••••••••
- Aug 4, 2022Aug 4 2022 Company N••• M••••••••• Invests to Support Growing Customer Base in Asia
- Aug 2, 2022Aug 2 2022 Company N••• C•••• P••••••• Names Sharon Moseley Global Human Resources Director
- Jul 14, 2022Jul 14 2022 Company N••• G•••••• R•••• L••• and Rohde & Schwarz extend partnership to broaden European test lab’s compliance testing capabilities
- Jul 13, 2022Jul 13 2022 Company N••• Luke Denly Joins C•••• as Global Director of Marketing
- Jun 16, 2022Jun 16 2022 SFW N••• Act! Partners with Performance Insights to Deliver Enhanced Client Management Solutions to Financial Service Professionals
- Mar 25, 2022Mar 25 2022 Company N••• C•••• P••••••• Names Dr. Jitendra Pant, ME, PhD as Global Director of Research and Innovation and Alan Campbell , MBA as Global Director of Product Marketing and Brand Management.
- Mar 10, 2022Mar 10 2022 Company N••• Industry Veteran Joins RDI Board of Directors
- Mar 2, 2022Mar 2 2022 S•• N••• S•• C•••••• P••••••• Announces Four Promotions
- Mar 1, 2022Mar 1 2022 Company N••• Sayeh Beiglari Joins C•••• as Global VP of Sales
- Feb 17, 2022S•• N••• S•• C•••••• P••••••• Makes Strategic Investment in R•• T•••••••••, a Leader in Vision-Based A••••••••• Solutions for Predictive Maintenance
- Feb 17, 2022Feb 17 2022 S•• N••• S•• C•••••• P••••••• Makes Strategic Investment in R•• T•••••••••, a Leader in Vision-Based A••••••••• Solutions for Predictive Maintenance
- Nov 3, 2021Nov 3 2021 Company N••• GRL partners with Rohde & Schwarz for new state-of-the-art high-speed digital compliance test laboratory in Germany
- Aug 16, 2021Aug 16 2021 Company N••• SFW Capital-backed C•••• Completes Acquisition of Bigneat
- Aug 10, 2021Aug 10 2021 Company N••• G•••••• R•••• L••• Names TIC Veteran Holger Kunz President of Worldwide Services
- Jul 14, 2021S•• N••• S•• C•••••• P••••••• Completes Majority Investment in Global Search Intelligence Leader C••••••
- Jul 14, 2021Jul 14 2021 S•• N••• S•• C•••••• P••••••• Completes Majority Investment in Global Search Intelligence Leader C••••••
- Jun 21, 2021Jun 21 2021 Company N••• GLG Names Shelly Yeh-Palma Head of Corporate Development
- Jun 20, 2021Jun 20 2021 Company N••• GLG Names Ramakrishnan (Rama) Adaikalavan Head of APAC
- May 26, 2021May 26 2021 Company N••• C•••• Appoints Jay Hexamer New President and CEO
- May 20, 2021S•• N••• S•• C•••••• P••••••• Completes A Strategic Recapitalization of P••• I•••, a Leading I•••••••••ation Provider for Life Sciences
- May 20, 2021May 20 2021 S•• N••• S•• C•••••• P••••••• Completes A Strategic Recapitalization of P••• I•••, a Leading I•••••••••ation Provider for Life Sciences
- May 12, 2021SFW N••• SFW Capital Completes Majority Recapitalization of G•••••• R•••• L•••
- May 12, 2021May 12 2021 SFW N••• SFW Capital Completes Majority Recapitalization of G•••••• R•••• L•••
- Feb 4, 2021Feb 4 2021 Company N••• GLG Names Jay Chakrapani Chief Product Officer
- Jan 13, 2021SFW N••• SFW Capital Completes Strategic Recapitalization of C•••• P••••••• a•• S•••••••
- Jan 13, 2021SFW N••• SFW Capital Completes Strategic Recapitalization of C•••• P••••••• a•• S•••••••
- Jan 13, 2021Jan 13 2021 SFW N••• SFW Capital Completes Strategic Recapitalization of C•••• P••••••• a•• S•••••••
- Nov 23, 2020Nov 23 2020 Company N••• GLG Names Kristine Olson-Chapman Head of EMEA
- Oct 13, 2020Oct 13 2020 Company N••• GLG Names D•••• Lansanah Head of Solutions
- Dec 19, 2019S•• N••• S•• C•••••• P••••••• Completes a Strategic Recapitalization of M••••••••• I••••••••• C•••••••••
- Dec 19, 2019Dec 19 2019 S•• N••• S•• C•••••• P••••••• Completes a Strategic Recapitalization of M••••••••• I••••••••• C•••••••••
- Dec 18, 2019Dec 18 2019 Company N••• S•••••••• Appoints Steve Oriola as New President and CEO
- Dec 5, 2019Dec 5 2019 Company N••• New Partnership Extends Greenshades’ Payroll and Employment Law Compliance Services
- Oct 16, 2019Oct 16 2019 S•• N••• S•• C•••••• P••••••• Completes Sale of DaySmart Software
- Jul 1, 2019Jul 1 2019 Company N••• GLG Names Andrew Somosi Head of GLG Americas
- Jun 28, 2019Jun 28 2019 Company N••• GLG Names Catrina Harding Chief Human Resources Officer
- Jun 21, 2019Jun 21 2019 SFW N••• I••••••••• Business Outlook: Materials Characterization Expert T•••• Kelly Joins S•• C•••••• P•••••••
- Jun 10, 2019Jun 10 2019 Company N••• GLG Names Martijn Tel Chief Financial Officer
- May 20, 2019May 20 2019 Insights Key Takeaways from Software & Technology Investment Panel
- Mar 7, 2019S•• N••• S•• C•••••• P••••••• Makes a Strategic Investment in Greenshades Software
- Mar 7, 2019S•• N••• S•• C•••••• P••••••• Makes a Strategic Investment in Greenshades Software
- Mar 7, 2019Mar 7 2019 S•• N••• S•• C•••••• P••••••• Makes a Strategic Investment in Greenshades Software
- Jan 7, 2019Jan 7 2019 Company N••• DaySmart Software Acquires PupKeep
Across the graphs
S•• C•••••• P••••••• is the same institution as 2 records in Independent Sponsors and RIA and Wealth.
Independent 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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