DFX Intelligence

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M••••••• C•••••• C•••••••••

Buyout firmClassification probableunsizedSEC registered investment adviser· Omaha, NEwebsite

Buyout firm, based in Omaha, NE.

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

As of 2026-09-16 · identity and classification; each section below carries its own date

Regulatory AUM: $588M
PE fund assets: $170M
PE funds: 4
Investments held: 0 of 1
Deals, last 12 months: Not established

Funds and vehicles Team (6)Transactions

As of 2026-09-16 · 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
Reported $588M of regulatory assets at its last Form ADV filing.
2016-03-30
RAUM $588M

Classification

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

Class: Buyout firmprobable, confidence 65%
Basis: R6: 4 of 4 distinct vehicles are sworn Private Equity Funds
Size band: unsizeddefined by: no Private Equity Fund GAV on a filing from 2021 or later

Classification history (1)

Sep 13, 2026
Buyout firm (probable, 65%, cls-pe-2)
R6: 4 of 4 distinct vehicles are sworn Private Equity Funds

Regulatory footprint (Form ADV)

Adviser type: registered investment adviser
Form ADV filings: Mar 29, 2012 to Mar 30, 2016
RAUM: $588Mregulatory assets under management of the adviser; not dry powder, not a fund size
PE funds, latest filing: 4
PE fund GAV, latest filing: $170Mreported gross assets (Form ADV), not fund size
All private fund GAV: $170Mevery 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 2016-03-30, latest gav Private Equity Fund $170M, latest counts Private Equity Fund 4, lifetime distinct Private Equity Fund 4
Employees: 1
Headquarters: Omaha, NE
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: unknown 1
period: to unknown, from unknown, undated holdings 1, dated observations 0
window: last unknown, first unknown
control: unknown 1
companies: 1
geography
investments: 1
seller kinds
transactions: 0
cadence by year
platform add on: add ons 0, platforms 0, add ons per platform unknown
sector known for: 1
disclosed value usd: n 0
sector distribution: count 1, share unknown, value software, examples TriMech
holding period years: n 0
repeat counterparties
subsector distribution: count 1, share unknown, value software, examples TriMech

1 companies on the graph (0 transactions); most in software (1); no dated observations

Funds

0 on record, 4 more on the reporting tape

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	Latest reported GAV	Source
name not on record	Private Equity Fund	2012 to 2016	$79.9M filed Mar 30, 2016	adviserinfo.sec.gov
name not on record	Private Equity Fund	2012 to 2016	$60.6M filed Mar 30, 2016	adviserinfo.sec.gov
name not on record	Private Equity Fund	2012 to 2016	$21.0M filed Mar 30, 2016	adviserinfo.sec.gov
name not on record	Private Equity Fund	2012 to 2016	$9.0M filed Mar 30, 2016	adviserinfo.sec.gov

Team

6 current, 0 former

Managing partner (3)

M•••••• R••••• M••••••• · Founder · since Jan 1, 2004 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
P•••••• J••••• D•••• · Managing Partner · since Jan 1, 2012 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
R••••• Y••••• E••••• · Managing Partner · since Jan 1, 2012 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Partner (1)

B•• E••••• · Partner · start date unknown Press release wires (PR Newswire, GlobeNewswire, Business Wire public pages and RSS)

Platform (2)

M••••••• M•••• S•••••• · Assistant Secretary & Treasurer · since May 1, 2006 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)
T••• L••• M••••• · Chief Compliance Officer · since Jun 1, 2005 SEC Form ADV filing data 2011 to 2024 (Schedule D 7.B.(1) private funds, Schedules A/B, 1.I websites)

Portfolio

1 relationships, 0 platforms, 0 add-ons

Company	Role	Status	Invested	Held	Partner	Source
T••••••	Role unknown	exited exited Jan 7, 2020	unknown	unknown	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
Jan 7, 2020	Sponsor to sponsor	T••••••	Seller (confirmed)	thehalifaxgroup.com

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

3 most recent

Sep 1, 2026
••• Locked
Adviser off rosterInferenceSEC Form ADV monthly roster (registered + exempt reporting advisers)
Jan 7, 2020
••• Locked
ExitFactT••••••Press release wires (PR Newswire, GlobeNewswire, Business Wire public pages and RSS)
Mar 29, 2012
••• 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

Freshness96 · HIGH: as of: 2026-09-23items: [{"code":"DAYS_SINCE_NEWEST_EVIDENCE","points":0.9611111111111111,"evidence":"7 method: sum of component points, capped at 1.0
model score-pe-1
Research priority40 · MODERATE: as of: 2026-09-23items: [{"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: 2026-09-23items: []method: sum of component points, capped at 1.0
missing: no dated transactions
model score-pe-1
Acquisition appetite0 · LOW: as of: 2026-09-23items: []method: sum of component points, capped at 1.0
missing: no transactions on the graph for this firm yet, no funds on the graph
model score-pe-1
Profile completeness42 · MODERATE: as of: 2026-09-23items: [{"code":"FIELDS_PRESENT","points":0.4166666666666667,"evidence":["website","teamethod: sum of component points, capped at 1.0
missing: description, funds, transactions, stated criteria, lenders, lps, cross dfx
model score-pe-1
Fund deployment activity0 · LOW: as of: 2026-09-23items: []method: sum of component points, capped at 1.0
missing: no funds on the graph
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: n/a
Last observed: 6 days ago
Observations: 17
Sources: 2
Open research tasks: 0

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

M••••••• C•••••• C••••••••• 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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