DFX Intelligence
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N•• E•••••• I••••••••• • R••••••••• G••••• I•••
Fund of fundsClassification probableLower middle marketSEC registered investment adviser· North Andover, MAn•••••••••.com
Fund of funds, based in North Andover, MA.
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
- $766M
- PE fund assets
- $21.4M
- PE funds
- 2
- Investments held
- Not established
- Deals, last 12 months
- Not established
Form ADV
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Why this matters
- Graphs 1
- RAUM $766M
Classification
How this organization is classified, and on what basisFund of funds · 1 in historyShowHide
- Class
- Fund of fundsprobable, confidence 75%
- Basis
- R1: 1 of 1 admitted vehicles carry the sworn fund-of-funds flag
- Size band
- Lower middle marketdefined by: proxy: $0.02bn Private Equity Fund GAV on the Form ADV filed 2021-06-30
Classification history (1)
- Sep 13, 2026Fund of funds (probable, 75%, cls-pe-1)R1: 1 of 1 admitted vehicles carry the sworn fund-of-funds flag
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Mar 19, 2012 to Jun 30, 2021
- RAUM
- $766Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 2
- PE fund GAV, latest filing
- $21.4Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $21.4Mevery 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
- 67%
- Fund type mix
- filed 2021-06-30, latest gav Private Equity Fund $21.4M, latest counts Private Equity Fund 2, lifetime distinct Other Private Fund 1, Private Equity Fund 2
- Employees
- 15
- Headquarters
- North Andover, MA
- 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
1 on record, 2 more on the reporting tape
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| N•••• I• L• ADV: Other Private Fund | Fund of funds | unknown | $3.6M as of Aug 9, 2013 | no Form D | Unknown |
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 |
|---|---|---|---|---|---|
| T••••••• C•••••• P••••••• •••• L••• | Private Equity Fund | 2020 to 2020 | $825,000 filed Oct 13, 2020 | adviserinfo.sec.gov | |
| T••••••• C•••••• P•••••••• L••• | Private Equity Fund | 2020 to 2020 | $825,000 filed Oct 13, 2020 | adviserinfo.sec.gov |
Team
4 current, 7 former
Managing partner (1)
- N••••••• J••• G••••••••• · President And Director · since Jul 1, 1997 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Partner (1)
- B•••• C••••••••• P•••• · Partner · since Mar 1, 2018 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Platform (2)
- C••••••••• J•••• W•••• · Chief Operating Officer · since Jun 1, 2020 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- R••••• M•••••• C••••• · Chief Compliance Officer · since Mar 1, 2016 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
7 former (kept with end dates)
- C•••• D•••••• M•••••••• · Cco · Sep 1, 2015 to Mar 24, 2016 Inference
- D••••• M•••••• G••••• · Chief Operations Officer · Jan 1, 2012 to Jan 16, 2013 Inference
- P•••••• J•••• S••••••• · Chief Compliance Officer · Feb 1, 2014 to Sep 9, 2015 Inference
- P•••• F•••••• F•••• · Chief Compliance Officer · Aug 1, 2013 to Feb 13, 2014 Inference
- T•••••• P•••••• · Chief Compliance Officer · Jun 1, 2011 to Aug 9, 2013 Inference
- W••• C••••••••• B••••• · Coo · Sep 1, 2015 to Mar 24, 2016 Inference
- L•••• G••••••••• · Director · May 1, 2007 to Sep 9, 2015 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, 2026••• Locked
- Mar 19, 2012••• Locked
Across the graphs
N•• E•••••• I••••••••• • R••••••••• G••••• I••• is the same institution as 1 record in RIA and Wealth.
RIA 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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