DFX Intelligence
Private Equity Intelligence
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Firms / L•••••• C•••••• M••••••••• I••
L•••••• C•••••• M••••••••• I••
Classification
- Class
- Candidatecandidate, confidence 40%
- Basis
- R7: admitted on 2 Private Equity Fund(s) among 20 vehicles; no rule fired
- Size band
- unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Classification history (1)
- Sep 13, 2026Candidate (candidate, 40%, cls-pe-1)R7: admitted on 2 Private Equity Fund(s) among 20 vehicles; no rule fired
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Mar 29, 2012 to Mar 13, 2015
- RAUM
- $188Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 2
- PE fund GAV, latest filing
- $5.5Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $99.5Mevery 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
- 10%
- Fund type mix
- filed 2015-03-13, latest gav Real Estate Fund $2.2M, Other Private Fund $84.6M, Private Equity Fund $5.5M, Venture Capital Fund $6.4M, Securitized Asset Fund $760,714, latest counts Real Estate Fund 1, Other Private Fund 14, Private Equity Fund 2, Venture Capital Fund 1, Securitized Asset Fund 1, lifetime distinct Real Estate Fund 2, Other Private Fund 14, Private Equity Fund 2, Venture Capital Fund 1, Securitized Asset Fund 1
- Employees
- 7
- Headquarters
- Northbrook, IL
- Office address
- 3000 DUNDEE RD STE 101, Northbrook, IL, 60062
- Business phone
- 847-205-1300
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
0 on record, 2 more on the reporting tape
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 |
|---|---|---|---|---|---|
| M••••••• P••••••• L•• | Private Equity Fund | 2012 to 2014 | $3.1M filed Nov 10, 2014 | adviserinfo.sec.gov | |
| B•••••• S••••• P••••••• L•• | Private Equity Fund | 2012 to 2014 | $2.9M filed Nov 10, 2014 | adviserinfo.sec.gov |
Team
4 current, 3 former
Managing partner (1)
- P•••••• E••••• L••••• · President · since May 1, 2014 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Principal (1)
- R••••• P••• H•••••• · Director · since May 1, 2014 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Board or advisory (1)
- L•••• H• L•••••• · Trustee · since Feb 1, 2014 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (1)
- D•••• A•• P•••••• · Exec. Vice President & Asst Secretary, Interim Cco · since Mar 1, 1990 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
3 former (kept with end dates)
- J•••• R•••• L•••••• · Trustee · Dec 1, 1999 to Nov 10, 2014 Inference
- W•••••• L•••••• · President, Director, Treasurer, Chief Compliance Officer - Owns Of 100% Of Common Stock · Jul 1, 1985 to Mar 28, 2014 Inference
- P••••• L••• D••••• · Vice President-Operations & Asst. Secretary · Jan 1, 2008 to Mar 28, 2013 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
- Sep 1, 2026Adviser CRD 104987 is not on the SEC registered or exempt adviser roster of 2026-09-01
- Mar 29, 2012L•••••• C•••••• M••••••••• I•• first filed Form ADV in the extract (IA)
Across the graphs
L•••••• C•••••• M••••••••• I•• is the same institution as 3 records in Venture Capital, RIA and Wealth and Real Estate Funds.
Venture Capital1RIA and Wealth1Real Estate Funds1
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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