DFX Intelligence
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M••••••• A•••••••
Buyout firmClassification probableLower middle marketSEC registered investment adviser· New York, NYm•••••••••.com
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $415M
- PE fund assets
- $6.2M
- PE funds
- 1
- 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
- Sectors financial_servicesGeography United States
- Graphs 2
- RAUM $415M
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: $0.01bn Private Equity Fund GAV on the Form ADV filed 2024-11-13
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
- Jan 25, 2012 to Jul 17, 2026
- RAUM
- $415Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 1
- PE fund GAV, latest filing
- $6.2Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $6.7Mevery private fund type, latest filing
- 2024 PE fund GAV
- $6.2Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 100%
- Fund type mix
- filed 2024-11-13, latest gav Private Equity Fund $6.2M, latest counts Private Equity Fund 1, lifetime distinct Private Equity Fund 1
- Employees
- 9
- Headquarters
- New York, NY
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviour
no observed deals yet
Stated by the firm
- Sectors
- financial services
- Geography
- United States
- 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
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| F••••••• M••••• F••• 1• L•• ADV: Private Equity Fund | buyout or unlabelled | 2022 first reported on Form ADV | $6.2M as of Nov 13, 2024 | no Form D | Unknown |
Team
12 current, 4 former
Managing partner (1)
- A•••• J• B••••• · MANAGING PARTNER & CHIEF INVESTMENT OFFICER · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Partner (6)
- A•••• J• B••••• · 4•• S••••••••• O• M••••••• A•••••••• L•• · since Apr 1, 2013 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- A••••• G••• · CRPC® MANAGING DIRECTOR, WEALTH MANAGEMENT · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- J•••• M••••••••• · MANAGING DIRECTOR, WEALTH MANAGEMENT · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- K••• J• P•••• · Investment Advisor Representative And Member (Partner) · since Mar 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
- K••• J• P•••• · PARTNER, WEALTH MANAGEMENT · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- W•••••• H•••• P•••• · 3•• S••••••••• O• M••••••• A•••••••• L•• · since Mar 1, 2023 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
Associate (2)
- B•••• H••••••• · ASSOCIATE · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- T•••• H••••• · ASSOCIATE · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Analyst (1)
- S•••• R••••• · FINANCIAL ANALYST · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
Platform (2)
- H•••• M•••••••• · Chief Compliance Officer · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
- M••• H•••• · Chief Financial Officer · start date unknown Investment organization websites (team, portfolio, strategy, criteria, news)
4 former (kept with end dates)
- J••••• D••••• L••• · Investment Advisor Representative And Member · Oct 1, 2012 to Nov 14, 2013 Inference
- R•••••• C••••••••• · Member · Jan 1, 2012 to May 30, 2013 Inference
- T•••••• C•••••••• M••••• · Investment Advisor Representative And Member · Oct 1, 2013 to Jan 25, 2021 Inference
- T•••••• H•••••• · Chief Operating Officer · Jan 1, 2023 to Mar 29, 2024 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 17, 2026••• Locked
- Jan 25, 2012••• Locked
Across the graphs
M••••••• A••••••• 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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