DFX Intelligence
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S• I••••••••
CandidateClassification candidateLower middle marketSEC registered investment adviser· New York, NY
••• Locked
As of · identity and classification; each section below carries its own date
- Regulatory AUM
- $95.1M
- PE fund assets
- $13.7M
- PE funds
- 2
Form ADV
Form ADV
Form ADV
As of · identity and classification; each section below carries its own date
Nothing material in the last 180 days. Last change: 27 Mar 2026, Private equity funds on its Form ADV went from 3 to 2 (-1).
Classification, Form ADV and stated criteria
How this organization is classified, and on what basisCandidate · 1 in historyShowHide
- Class
- Candidatecandidate, confidence 40%
- Basis
- Admitted on 4 Private Equity Fund(s) among 9 vehicles; no rule fired
- Size band
- Lower middle marketdefined by: proxy: $0.01bn Private Equity Fund GAV on the Form ADV filed 2024-06-10
Classification history (1)
- Sep 13, 2026Candidate (candidate, 40%)Admitted on 4 Private Equity Fund(s) among 9 vehicles; no rule fired
Regulatory footprint (Form ADV)RAUM $95.1M · 2 PE funds · filed Mar 27, 2026ShowHide
- Adviser type
- Registered investment adviser
- Form ADV filings
- Mar 29, 2012 to Mar 27, 2026
- RAUM
- $95.1Mregulatory assets under management of the adviser; not dry powder, not a fund size
- PE funds, latest filing
- 2
- PE fund GAV, latest filing
- $13.7Mreported gross assets (Form ADV), not fund size
- All private fund GAV
- $83.6Mevery private fund type, latest filing
- 2024 PE fund GAV
- $13.8Msum over funds typed Private Equity Fund with a 2024 or later as-of date
- PE share of funds, lifetime
- 44%
- Fund type mix
- Hedge fund: 2 funds, $69.9M reported gross assets, 5 ever reported
- Private equity fund: 2 funds, $13.7M reported gross assets, 4 ever reported
- Employees
- 2
- Headquarters
- New York, NY
- Office address
- ••• Locked
- Business phone
- ••• Locked
Stated criteria beside observed behaviourno criteria stated · no observed deals yetShowHide
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.
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.
4 families, 4 vehicles on record
S• B•••••••• K•••• L••• · 1 vehicle · vintage 2021$3.0M
- S• B•••••••• K•••• L••• buyout or unlabelled · 2021$3.0M
S• I•••••••• B•••••••• P•••••••• L••• · 1 vehicle · vintage 2015$10.7M
- S• I•••••••• B•••••••• P•••••••• L••• buyout or unlabelled · 2015$10.7M
S•••• A••••••••• L••• · 1 vehicle · vintage 2021$122,108
- S•••• A••••••••• L••• buyout or unlabelled · 2021$122,108
S• B•••••••• P••••••• M••••••••• L••• · 1 vehicle · vintage 2017$20,998
- S• B•••••••• P••••••• M••••••••• L••• buyout or unlabelled · 2017$20,998
View all 4 vehiclesnewest vintage first, then largest
| Fund | Vehicle | Vintage | Reported gross assets (Form ADV), not fund size | GAV by year | Form D sold | Lifecycle |
|---|---|---|---|---|---|---|
| S• B•••••••• K•••• L••• ADV: Private Equity Fund | buyout or unlabelled | 2021 Form D first sale | $3.0M as of Mar 27, 2026 | $3.2M | Mature | |
| S•••• A••••••••• L••• ADV: Private Equity Fund | buyout or unlabelled | 2021 Form D first sale | $122,108 as of Jun 10, 2024 | $3.5M | Unknown | |
| S• B•••••••• P••••••• M••••••••• L••• ADV: Private Equity Fund | buyout or unlabelled | 2017 Form D first sale | $20,998 as of Sep 16, 2022 | no Form D | Wound down | |
| S• I•••••••• B•••••••• P•••••••• L••• ADV: Private Equity Fund | buyout or unlabelled | 2015 first reported on Form ADV | $10.7M as of Mar 27, 2026 | no Form D | Harvest |
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); Investment organization websites (team, portfolio, strategy, criteria, news). A person named by two sources under two spellings is shown once, with both sources.
2 current, 1 former
- Cio, Managing Member & Chief Compliance Officer · since Apr 1, 1997
- Director of Research
Full team · 2 peoplegrouped by role, with sources
Managing partner (1)
- S•••••••• M•••• · Cio, Managing Member & Chief Compliance Officer · since Apr 1, 1997 Form ADV Firm website
Principal (1)
- A••••••••• C•••••••• · Director of Research · start date unknown Firm website
1 former (kept with end dates)
- P••• J••••• P•••••• · Chief Compliance Officer · Apr 1, 2011 to Mar 28, 2013 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. 0 portfolio relationships and 0 transactions are on this record.
0 on record, newest first · 0 platforms · 0 add-ons
No deal naming this firm has been collected yet. Deals arrive from the firm’s portfolio page, 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 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
3 most recent
- Mar 27, 2026••• Locked
- Mar 29, 2012••• Locked
- Oct 16, 1997••• Locked
Across the graphs
S• I•••••••• 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.
Checking your plan…
Not yet on record: investments held, deals, last 12 months.