DFX Intelligence

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C••••••• E••••• P••••••• L••

Buyout firmClassification probableunsizedSEC registered investment adviser· Greenwood Village, COc•••••••••.com

Buyout firm, running PRIVATE CREDIT, based in Greenwood Village, CO.

Composed from this firm's filed classification and location. It has no published description on record.

As of 2026-09-17 · identity and classification; each section below carries its own date

Regulatory AUM: $64.4M
PE fund assets: $45.1M
PE funds: 1
Investments held: Not established
Deals, last 12 months: Not established

Funds and vehicles Team (3)Transactions

As of 2026-09-17 · identity and classification; each section below carries its own date

Why this matters

Also held on 1 other DFX graph, so its behaviour can be read from more than one side.
Graphs 1
0 lenders and 1 placement agents appear beside this firm on the record.
Placement agents 1
Reported $64.4M of regulatory assets at its last Form ADV filing.
2017-11-14
RAUM $64.4M

Classification

How this organization is classified, and on what basisBuyout firm · 1 in historyShow

Class: Buyout firmprobable, confidence 65%
Basis: R6: 8 of 8 distinct vehicles are sworn Private Equity Funds
Size band: unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later
Strategies: PRIVATE CREDIT

Classification history (1)

Sep 13, 2026
Buyout firm (probable, 65%, cls-pe-1)
R6: 8 of 8 distinct vehicles are sworn Private Equity Funds

Regulatory footprint (Form ADV)

Adviser type: registered investment adviser
Form ADV filings: Jan 3, 2014 to Nov 14, 2017
RAUM: $64.4Mregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 1
PE fund GAV, latest filing: $45.1Mreported gross assets (Form ADV), not fund size
All private fund GAV: $45.1Mevery 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: 100%
Fund type mix: filed 2017-11-14, latest gav Private Equity Fund $45.1M, latest counts Private Equity Fund 1, lifetime distinct Private Equity Fund 8
Employees: 10
Headquarters: Greenwood Village, CO
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

8 on record

Fund	Vehicle	Vintage	Reported gross assets (Form ADV), not fund size	Form D sold	Lifecycle
C••••••• E••••• V•• L•• ADV: Private Equity Fund	buyout or unlabelled	2015 first reported on Form ADV	$45.1M as of Nov 14, 2017	no Form D	Early deployment
C••••••• E••••• V• L• ADV: Private Equity Fund	buyout or unlabelled	2015 first reported on Form ADV	$36,722 as of Mar 30, 2016	no Form D	Unknown
C••••••• E••••• V•• L•• ADV: Private Equity Fund	buyout or unlabelled	2015 first reported on Form ADV	$0 as of Mar 30, 2016	no Form D	Unknown
B••••• D••••••• F••• I•• L• ADV: Private Equity Fund	buyout or unlabelled	unknown	$10.0M as of Mar 30, 2016	no Form D	Unknown
B••••• D••••••• F••• I••• L• ADV: Private Equity Fund	buyout or unlabelled	unknown	$5.4M as of Mar 30, 2016	no Form D	Unknown
B••••• I••••• F•••• L•• ADV: Private Equity Fund	Credit fund	unknown	$3.5M as of Mar 30, 2016	no Form D	Unknown
C••••••• E••••• L••• I•• L•• ADV: Private Equity Fund	buyout or unlabelled	unknown	$22,827 as of Mar 30, 2016	no Form D	Unknown
B••••• D••••••• F••• I••• L•• ADV: Private Equity Fund	buyout or unlabelled	unknown	$0 as of Mar 30, 2016	no Form D	Early deployment

Team

3 current, 6 former

Managing partner (1)

R•••••• D••• K•••••••• · Chief Executive Officer, Member · since Jan 1, 2013 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Platform (2)

K•••• A•• S•••••••• · Chief Compliance Officer · since Dec 1, 2016 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
M••••••• L••• M••••• · Chief Financial Officer · since May 1, 2015 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

6 former (kept with end dates)

S••••• R• M•• · President · Nov 1, 2013 to Nov 14, 2017 Inference
C••••••• G••• · Chief Analytics & Performance Officer · Jan 1, 2013 to Nov 14, 2017 Inference
D•• E• S•••• · Chief Operating Officer · Jan 1, 2013 to Jul 2, 2015 Inference
J•••• M•••••• E••••• · Chief Compliance Officer · Aug 1, 2015 to Dec 14, 2016 Inference
M•••••• A•••••• M••••••••• · Chief Operations Officer · May 1, 2015 to Jan 31, 2017 Inference
S•••• R• L•••••• · Chief Compliance Officer · Oct 1, 2014 to Aug 28, 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

1 relationships

Placement agents (1)

S••••• C•••••• C••••••••• 6 shared · very strong · last Jan 1, 2015

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
Adviser off rosterInferenceSEC Form ADV monthly roster (registered + exempt reporting advisers)
Jan 3, 2014
••• Locked
First Form ADV filingFactSEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Scores and what they are made of

Freshness97 · HIGH: as of: 2026-09-22items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":0.9722222222222222,"evidence":"5 method: sum of component points, capped at 1.0
model score-pe-1
Research priority40 · MODERATE: as of: 2026-09-22items: [{"code":"SCALE_BAND","points":0.05,"evidence":"UNSIZED"},{"code":"COMPLETENESS_method: sum of component points, capped at 1.0
model score-pe-1
Investment velocity0 · LOW: as of: 2026-09-22items: []method: sum of component points, capped at 1.0
missing: no dated transactions
model score-pe-1
Acquisition appetite0 · LOW: as of: 2026-09-22items: []method: sum of component points, capped at 1.0
missing: no transactions on the graph for this firm yet
model score-pe-1
Profile completeness42 · MODERATE: as of: 2026-09-22items: [{"code":"FIELDS_PRESENT","points":0.4166666666666667,"evidence":["website","funmethod: sum of component points, capped at 1.0
missing: description, portfolio, transactions, stated criteria, lenders, lps, cross dfx
model score-pe-1
Fund deployment activity70 · ELEVATED: as of: 2026-09-22items: [{"code":"FUNDS_DEPLOYING","points":0.7,"caution":"deployment state is read frommethod: sum of component points, capped at 1.0
model score-pe-1

Across DFX

No link to the family office, independent sponsor or venture graphs yet. Links are made only on a shared identifier such as a CRD or CIK number.

Record

First observed: Sep 13, 2026
Last observed: 5 days ago
Observations: 19
Sources: 3
Open research tasks: 1

Reading this profile

Reported gross assets are what an adviser told the SEC a fund held on a date. They are not the fund’s size and not dry powder. RAUM is a regulatory measure of the adviser, not capital available to invest.

A section that says nothing has been collected means exactly that: the graph has not read that kind of record for this firm yet.

Across the graphs

C••••••• E••••• P••••••• L•• 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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