DFX Intelligence
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Y•••••••• A••••••• G•••••• L•
Hybrid managerClassification probableLower middle marketSEC registered investment adviser· Mountainside, NJ
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $900M
- PE fund assets
- $1.2M
- PE funds
- 1
- Investments held
- 1 of 1
Form ADV
Form ADV
Form ADV
DFX transaction tape
As of · identity and classification; each section below carries its own date
Nothing material in the last 180 days. Last change: 24 May 2022, Filed a Form D on 24 May 2022, the first public sign that a vehicle is taking commitments.
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 11 distinct vehicles; hedge, securitized or liquidity vehicles 9
- Size band
- Lower middle marketdefined by: proxy: $0.00bn Private Equity Fund GAV on the Form ADV filed 2026-05-21
Classification history (2)
- Sep 23, 2026Hybrid manager (probable, 65%)Private Equity Funds are 2 of 11 distinct vehicles; hedge, securitized or liquidity vehicles 9
- Sep 13, 2026Hybrid manager (probable, 65%)Private Equity Funds are 1 of 11 distinct vehicles; hedge, securitized or liquidity vehicles 9
Regulatory footprint (Form ADV)RAUM $900M · 1 PE funds · filed May 21, 2026ShowHide
- Adviser type
- Registered investment adviser
- Form ADV filings
- Nov 5, 2012 to May 21, 2026
- RAUM
- $900Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 1
- PE fund GAV, latest filing
- $1.2Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $900Mevery private fund type, latest filing
- 2024 PE fund GAV
- $10.7Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 18%
- Fund type mix
- Hedge fund: 2 funds, $899M reported gross assets, 9 ever reported
- Private equity fund: 1 fund, $1.2M reported gross assets, 2 ever reported
- Employees
- 23
- Headquarters
- Mountainside, NJ
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour1 of 8 criteria stated · 1 observed dealsShowHide
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
- ••• Locked
Observed from deals on record
- On record
- 1 company, 1 holding
- Deal roles
- 1 with role not stated
- Control
- 1 not stated
1 company on the graph (0 transactions); no dated observations
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
Y•••••••• V••••••• P•••••••• L•• · 1 vehicle · vintage 2021$9.6M
- Y•••••••• V••••••• P•••••••• L•• buyout or unlabelled · 2021$9.6M
Y•••••••• V•••••••• L•• · 1 vehicle · vintage 2021$1.2M
- Y•••••••• V•••••••• L•• buyout or unlabelled · 2021$1.2M
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 |
|---|---|---|---|---|---|---|
| Y•••••••• V••••••• P•••••••• L•• ADV: Private Equity Fund | buyout or unlabelled | 2021 Form D first sale | $9.6M as of Nov 21, 2024 | $2.0M | Early deployment | |
| Y•••••••• V•••••••• L•• ADV: Private Equity Fund | buyout or unlabelled | 2021 Form D first sale | $1.2M as of May 21, 2026 | $100,000 | 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.
5 current, 5 former
- Partner · since Jan 1, 2023
- Member · since May 1, 2012
- General Counsel & Cco · since May 1, 2012
- Trustee · since Jul 1, 2024
- Trustee · since Jul 1, 2024
Full team · 5 peoplegrouped by role, with sources
Partner (2)
- M•••••• A••••• R••••••• · Partner · since Jan 1, 2023 Form ADV
- M••• A••••• A••••• · Member · since May 1, 2012 Form ADV
Board or advisory (2)
- M•••••• J•••• B•••••• · Trustee · since Jul 1, 2024 Form ADV
- T••• J•••• R•••• · Trustee · since Jul 1, 2024 Form ADV
Platform (1)
- D•••• G••••••• · General Counsel & Cco · since May 1, 2012 Form ADV
5 former (kept with end dates)
- G••••• C•••••• E•••• · Managing Partner · May 1, 2012 to Feb 7, 2017 Inference
- E••••• A••• S•••••• · Coo/Cfo · May 1, 2012 to Mar 24, 2022 Inference
- M••• a• E•••• · Managing Director And Chief Compliance Officer · Mar 1, 2021 to Jan 27, 2022 Inference
- R••••• M•••• · Chief Compliance Officer/Chief Operating Officer/Chief Financial Officer · Jan 1, 2022 to Nov 21, 2024 Inference
- S••••• S•••• G•••••••• · Cco · May 1, 2012 to Mar 26, 2015 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. 1 portfolio relationships and 0 transactions are on this record.
1 on record, newest first · 0 platforms · 0 add-ons
| Date | Company | Deal | This firm’s role | Status | Partner | Source |
|---|---|---|---|---|---|---|
| date unknown | P••• | Portfolio relationship | Role unknown | active | unknown | Fact DFX cross-reference |
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
1 most recent
- Nov 5, 2012••• Locked
Across the graphs
Y•••••••• A••••••• G•••••• L• is the same institution as 3 records in Venture Capital, Independent Sponsors and RIA and Wealth.
Venture Capital1Independent 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.
Checking your plan…
Not yet on record: deals, last 12 months.