DFX Intelligence
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P•••• H•••••••• H••••••••• C••••••• L••
Buyout firmClassification probableLower middle marketSEC registered investment adviser· Minneapolis, MNp•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $218M
- PE fund assets
- $232M
- PE funds
- 1
- Investments held
- 2 of 2
- 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
- Graphs 2
- Placement agents 3
- RAUM $218M
Classification
How this organization is classified, and on what basisBuyout firm · 1 in historyShowHide
- Class
- Buyout firmprobable, confidence 65%
- Basis
- R6: 1 of 1 distinct vehicles are sworn Private Equity Funds; 1 reported gross assets on a filing in 2022 or later
- Size band
- Lower middle marketdefined by: proxy: $0.23bn Private Equity Fund GAV on the Form ADV filed 2024-11-20
Classification history (1)
- Sep 13, 2026Buyout firm (probable, 65%, cls-pe-1)R6: 1 of 1 distinct vehicles are sworn Private Equity Funds; 1 reported gross assets on a filing in 2022 or later
Regulatory footprint (Form ADV)
- Adviser type
- registered investment adviser
- Form ADV filings
- Jul 13, 2020 to Mar 26, 2026
- RAUM
- $218Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 1
- PE fund GAV, latest filing
- $232Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $211Mevery private fund type, latest filing
- 2024 PE fund GAV
- $232Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 100%
- Fund type mix
- filed 2024-11-20, latest gav Private Equity Fund $232M, latest counts Private Equity Fund 1, lifetime distinct Private Equity Fund 1
- Employees
- 15
- Headquarters
- Minneapolis, MN
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
1 observed deals
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
- roles
- platform 2
- period
- to 2024-08-26, from 2024-08-26, undated holdings 0, dated observations 4
- window
- last 2024-08-26, first 2024-08-26
- control
- control 2
- companies
- 1
- geography
- investments
- 2
- seller kinds
- transactions
- 2
- cadence by year
- 2024 platforms 2
- platform add on
- add ons 0, platforms 2, add ons per platform unknown
- sector known for
- 1
- disclosed value usd
- n 0
- sector distribution
- count 1, share unknown, value financial services, examples Aviditi Advisors
- holding period years
- n 0
- repeat counterparties
- role buy side adviser, shared 2, entity id a631b07b-22f8-4de2-8256-71aa28d6d5a3, role sell side adviser, shared 2, entity id f302695b-a767-4f7c-b382-399901135a0e
- subsector distribution
- count 1, share unknown, value financial services, examples Aviditi Advisors
1 companies on the graph (2 transactions); most in financial services (1); 2 platforms and 0 add-ons; observed 2024 to 2024
Funds
1 on record
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| P•••• H•••••••• H••••••••• C•••••••• F••• I• L••• ADV: Private Equity Fund | buyout or unlabelled | 2021 first reported on Form ADV | $232M as of Nov 20, 2024 | no Form D | Active deployment |
Team
20 current, 2 former
Managing partner (3)
- C••• A•••••• · Chairman, Chief Executive Officer · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- D•• S•••••••• · President · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- M•••••• S•••••• H•••••• · Chief Executive Officer/President · 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)
Partner (1)
- T•• S••••••••• · Vice Chairman, P•••• S•••••• • C•• and Managing Director, Merchant Banking · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Principal (1)
- J••••••• D•••• · Vice Chairman, Senior Managing Principal and Head of Financial Services · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Capital markets (4)
- J••• P•••••• · Global Co-Head of Investment Banking and Capital Markets · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J•••• B•••• · Global Co-Head of Investment Banking and Capital Markets · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••• B•••••••• · Vice Chairman, Fixed Income Capital Markets · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- M••• D•••••••• · Global Co-Head of Investment Banking and Capital Markets · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Platform (9)
- A••••• L••• B••••• · Chief Compliance Officer · since Dec 1, 2022 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- C•••••••• E•••••••• · Chief Human Capital Officer · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- D••••• A••• · Co-Head of Public Finance · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J•••• M•••••• M••••• · Secretary · 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)
- J••••• G••••• · Co-Head of Public Finance · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J••• G••••• · General Counsel and Secretary · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- K••• C•••• · Chief Financial Officer · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- K•••••••• P••••••• C•••• · Chief Financial Officer · since Jan 1, 2024 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- S•••• Q•••• · Chief Information and Operations Officer · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Other (2)
- M•••••• C••• C•• · Co-Head of Global Equities · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- R••• L••••• · Head of Fixed Income Sales · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
2 former (kept with end dates)
- A••••••••• M•••••• · Chief Compliance Officer · Jun 1, 2020 to Dec 21, 2022 Inference
- T•••••• L•• C••••• · Chief Financial Officer · Jun 1, 2020 to Mar 27, 2024 Inference
Portfolio
2 relationships, 2 platforms, 0 add-ons
| Company | Role | Status | Invested | Held | Partner | Source |
|---|---|---|---|---|---|---|
| A•••••• A••••••• | Platform | active | Aug 26, 2024 transaction announcement | 2.1 years | unknown | Fact Press release wires (PR Newswire, GlobeNewswire, Business Wire public pages and RSS) |
| A•••••• A••••••• | Platform | active | Aug 26, 2024 transaction announcement | 2.1 years | unknown | Fact Press release wires (PR Newswire, GlobeNewswire, Business Wire public pages and RSS) |
Transactions
1 on record
| Date | Type | Target | This firm’s role | Source |
|---|---|---|---|---|
| Aug 26, 2024 | Platform acquisition | A•••••• A••••••• | Sponsor (confirmed), Sponsor (confirmed) | p•••••••••.com |
Placement agents, lenders, advisers and co-investors
5 relationships
Placement agents (3)
- F••••••• S••••••••• L•• 1 shared · one time · last Jan 1, 2022
- P•••• S•••••• • C•• 1 shared · one time · last Jan 1, 2022
- E••• W••••• 1 shared · one time · last Jan 1, 2023
Financial advisers (2)
- S••••••• • C••••••• L•• 1 shared · one time · last Aug 26, 2024
- B••••••• • W•••• 1 shared · one time · last Aug 26, 2024
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
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Across the graphs
P•••• H•••••••• H••••••••• C••••••• L•• 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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